Compliance Manager - Regulatory Compliance

Role & responsibilities

• Managing regulatory audits and inspections
• Managing all regulatory submissions
  Responsible for maintaining and improving relationships with local regulators and authorities
• Backup for the Compliance Control function of various activities including CRMS reporting
• Support the efficient running of the Compliance department (assistance on reporting/data processes, process improvement, etc.)
• Support the SK Employee trainings
• Disseminating circulars issued by the Regulators, Exchanges and Depositories to the respective departments.
• Tracking of all regulatory implementations at Mirae Asset Sharekhan

Contributing Responsibilities

Key Interaction with

• Head of Compliance, India
• Compliance COO teams
• Heads of Compliance of other BNPP entities in India
• Mirae Asset Sharekhan Senior Management/Directors
• Heads of Functions, Business Lines & Operations within Mirae Asset Sharekhan

Preferred candidate profile

• CA with CS or LLB
• At least 8-10 years of relevant work experience with the Stock Broker or regulatory

Interested candidates can share their resumes on [email removed]