Hi,

Interested candidates can share the updated resume on [email protected]

Job Responsibilities

Regulatory Compliance & Governance

- Ensure compliance with SEBI regulations, stock exchange by-laws, circulars, and guidelines applicable to stock broking operations.
- Act as the designated Compliance Officer as per SEBI and exchange requirements.
- Monitor regulatory developments and assess their impact on business operations.

Regulatory Reporting & Filings

- Oversee timely and accurate submission of regulatory filings, disclosures, and periodic reports to SEBI, stock exchanges, and depositories.
- Coordinate responses to regulatory queries, notices, and inspections.

Surveillance & Monitoring

- Implement and oversee trade surveillance mechanisms to detect market abuse, insider trading, front running, and other irregular activities.
- Review alerts, investigate exceptions, and escalate issues as required.

Policies, Procedures & Advisory

- Develop, update, and implement compliance policies,



SOPs, and internal control frameworks.
- Provide compliance advisory support to business, sales, dealing, operations, and technology teams.
- Ensure proper implementation of KYC, AML, and client onboarding norms

Audit & Inspections

- Coordinate internal audits, system audits, and regulatory inspections.
- Track audit observations, ensure timely closure, and report status to senior management and the Board.

Training & Awareness

- Conduct periodic compliance training and awareness programs for employees, dealers, and authorized persons.
- Promote a robust compliance culture across the organization.

Stakeholder Management

- Liaise with regulators, exchanges, depositories, auditors, and internal stakeholders.
- Prepare compliance MIS, dashboards, and reports for senior management and the Board.

📌 Compliance Lead (Mumbai)
🏢 Shriram Financial Services
📍 Mumbai