Manager - Compliance - Stock Broking/Capital Markets - LLB/CS/CISA/ACA

Designation : Compliance Manager.

Industry : Stock Broking/Capital Marketing.

Experience : 5-8 Years.

Location : Gurgaon.

Education : NISM SERIES III.

Key Responsibilities:.

Regulatory Compliance Management:

- Oversee and manage the company's compliance with local and international regulatory requirements (e., SEBI, RBI, AMFI, etc.

- Monitor changes in the regulatory environment and ensure the business adapts accordingly.

- Conduct periodic reviews to ensure all processes and activities align with the latest regulatory guidelines.

Risk Management:

- Assess risks associated with the company's operations in the capital markets and stock broking sector.

- Implement and monitor risk mitigation strategies to ensure compliance with risk management protocols.

- Prepare risk reports and analysis for senior management.

Compliance Reporting:

- Develop and deliver regular compliance reports for senior management and regulatory authorities.

- Assist in preparing audits and reports for external regulatory bodies.

- Ensure all necessary regulatory filings are submitted in a timely manner.

Policy & Procedure Development:

- Develop, implement, and review internal compliance policies, procedures, and controls to mitigate risk and ensure regulatory compliance.

- Conduct training for employees to ensure they understand and adhere to compliance requirements.

Sippy Software Utilization:

- Utilize Sippy Software to track and manage compliance activities, such as trade monitoring, transaction surveillance, and reporting.

- Work closely with the IT and Operations teams to ensure Sippy Software is used effectively for compliance tracking and reporting.

- Troubleshoot and support software-related compliance issues to ensure accurate and seamless operations.

Internal Audits & Investigations:

- Lead or support internal audits to evaluate the company's adherence to compliance standards.

- Investigate and resolve compliance breaches or concerns, providing recommendations for corrective actions.

Client and Stakeholder Engagement:

- Serve as the primary point of contact for regulatory authorities, external auditors, and clients regarding compliance matters.

- Foster strong relationships with internal and external stakeholders to ensure compliance is maintained.

Training and Development:

- Conduct regular training sessions to educate employees on the latest regulations, compliance requirements, and best practices.

- Keep the team up-to-date with industry changes, and provide guidance on navigating complex regulatory landscapes.

Qualifications & Skills:

Education:

- Bachelor's Degree in Law, Finance, Business Administration, or a related field.

- A Master's degree or professional certifications (e.g., ACA, CS, CISA) would be a plus.

Experience:

- Minimum of 5-7 years of experience in compliance management within the stock broking and capital markets industry.

- Proven experience working with Sippy Software or similar compliance management tools.

- Strong knowledge of SEBI regulations, RBI guidelines, stock exchange compliance requirements, and global regulatory frameworks.

Skills:

- Expertise in regulatory compliance, risk management, and audit procedures.

- Strong analytical and problem-solving abilities.

- Excellent communication and interpersonal skills, with the ability to interact with stakeholders at all levels.

- Proficient in MS Office Suite; knowledge of Sippy Software and other compliance management tools is essential.

- Detail-oriented with the ability to manage multiple tasks simultaneously.

- Strong understanding of capital markets, stock broking operations, and related compliance challenges.

Preferred:

- Familiarity with capital market trading platforms and financial products.

- Experience in the development and implementation of compliance programs using advanced software solutions.

- Ability to lead compliance audits, risk assessments, and regulatory inspections.

Key Performance Indicators (KPIs):

- Timeliness and accuracy of compliance reporting and filings.

- Number of compliance breaches and corrective actions implemented.

- Effectiveness of internal audits and risk mitigation strategies.

- Successful application of Sippy Software for compliance monitoring and reporting.

- This role offers the opportunity to contribute significantly to the firm's regulatory compliance structure while applying cutting-edge compliance software tools like Sippy to streamline processes and ensure adherence to industry standards