Department: Compliance Secretarial
Location: Bangalore
Employment Type: Full time
Experience: 4-10 Years
Qualification: Bachelor’s degree in Finance, Business Administration, or a related field. 
Advanced degrees or certifications in compliance or regulatory affairs are a plus.

 Job Description:

Regulatory Compliance:
Responsible for regulatory compliance  Ensure compliance with all rules, regulations, byelaws, circulars and other
guidelines, issued from time to time, by the exchanges, depositories, SEBI and other regulatory bodies. 

Data Analysis and Compliance Assurance: 
Data collation, analysis and periodic review to ensure ongoing compliance with all regulatory requirements. 

Audit and Inspection Handling:
Manage all internal and external audits and inspections including data collation, data verification, data submission and
observation responses for various audits and inspection of the broking and DP business. 

Preferred Skill

• In-depth knowledge of SEBI regulations and other relevant financial regulations. 
• Experience with business requirement drafting and system implementation. 
• Proven ability to handle audits and inspections successfully.
• Strong attention to detail and commitment to maintaining high standards of compliance