Compliance Manager

Key Responsibilities

Regulatory Reporting & Submissions

• Manage periodic filings (Daily, Weekly, Monthly, Quarterly, Half-Yearly,

Annual) with SEBI, NSE, BSE, MCX, and Depositories (CDSL/NSDL).

• Ensure submissions of Net-Worth certificates, Internal Audit, Cyber Audit, System Audit, RBS and surveillance alerts and ATR of respective audit.
• PIT (Prohibition of Insider Trading) Regulations
• Coordinate end-to-end SEBI and Stock Exchange-mandated periodic/special inspections.
• Facilitate internal audits, depository-mandated concurrent/internal audits, and gather data from cross-functional operational teams.
• Draft factual responses/closure reports to inspection observations and track remediation timelines
• Act as a point of contact for routine regulatory correspondence and query resolution
• Mandatory NISM Certifications
• In-depth understanding of SEBI (Stockbrokers) Regulations, PMLA/AML guidelines, and Exchange by-laws