Regulatory Compliance

1. Monitor, analyze, and interpret regulatory circulars, notifications, guidelines, and regulatory developments issued by regulators, exchanges, depositories, and other regulatory authorities.
2. Assess the impact of regulatory changes and coordinate implementation across relevant business and support functions.
3. Provide regulatory guidance and advisory support to internal stakeholders.
4. Maintain regulatory compliance trackers and monitor closure of compliance obligations.

Regulatory Reporting

1. Review and monitor periodic, event-based, and ad-hoc regulatory submissions.
2. Ensure accuracy, completeness, and timely submission of regulatory reports and disclosures.
3. Coordinate with internal stakeholders for collection, validation, and submission of regulatory data.

Compliance Monitoring & Testing

1. Conduct compliance reviews and testing to assess adherence to regulatory requirements and internal policies.
2. Identify compliance gaps and control weaknesses and recommend corrective and preventive actions.
3. Track implementation and closure of compliance observations within agreed timelines.

Regulatory Inspections, Audits & Reviews

1. Coordinate regulatory inspections, audits, and information requests from regulators, exchanges, depositories, and other authorities.
2. Compile and review information required during inspections and audits.
3.



Assist in preparation of responses to regulatory observations, queries, and audit findings.
4. Monitor timely closure of observations arising from inspections, audits, and internal reviews.

Policies, SOPs & Governance

1. Draft, review, and update compliance policies, SOPs, manuals, and governance documents.
2. Ensure internal policies remain aligned with applicable regulatory requirements and industry practices.
3. Support implementation of governance and compliance initiatives across the organization.

Management Reporting

1. Prepare compliance MIS, dashboards, and reports for management committees and governance forums.
2. Highlight key regulatory developments, compliance risks, and status of corrective actions.
3. Assist in preparation of compliance-related presentations and management updates.

Training & Awareness

1. Conduct compliance awareness sessions and regulatory training programs for employees.
2. Promote awareness of regulatory obligations and compliance requirements across the organization.
3. Support initiatives aimed at strengthening the compliance culture.

Stakeholder Coordination

1. Liaise with regulators, exchanges, depositories, auditors, and internal stakeholders on compliance-related matters.
2. Work closely with business, operations, risk, legal, finance, and technology teams to ensure effective implementation of regulatory requirements.

📌 Senior Manager Regulatory Compliance (Mumbai)
🏢 Axis Direct
📍 Mumbai