Job Description
– Senior Manager, Compliance & Ethics
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Location:
Kerala
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Experience:
8–10 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
• Qualification: Bachelor's or Master's Degree
• Department: Compliance & Ethics Job Overview We are hiring a Senior Manager – Compliance & Ethics for a leading financial services company. The candidate will be responsible for ensuring regulatory compliance, monitoring exchange circulars, managing compliance reporting, and coordinating regulatory audits and inspections.

Key Responsibilities
• Ensure compliance with SEBI, NSE, BSE, MCX, NCDEX, and other applicable regulations.
• Review and implement regulatory circulars and updates.
• Prepare weekly reports and presentations on regulatory changes.
• Ensure timely submission of regulatory reports and filings.
• Handle exchange notices, inquiries, and responses.




• Coordinate internal and external audits and regulatory inspections.
• Update and maintain compliance policies and procedures.
• Review transaction surveillance alerts from commodity exchanges.
• Identify compliance risks and recommend corrective actions.
• Coordinate with internal departments on compliance-related matters.
• Supervise team members and ensure timely completion of tasks. Requirements
• Bachelor's or Master's degree from a recognized institution.
• 8–10 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
• Valuable knowledge of SEBI regulations and stock or commodity exchange compliance.
• Strong analytical, communication, and report-writing skills.
• Good organizational and team management skills.
• Relevant regulatory certifications as applicable.

📌 Senior Manager – Capital Market Compliance (India)
🏢 advenxa
📍 India