Compliance Manager_Noida
Job Description:
- Handling Compliances and Inspections related to all exchanges, Depository and Regulatory
- Validation and quality assurance of Inspection Reports
- Preparation and Submission of Periodical Returns to Exchanges, Depository (Quarterly, Half Yearly, Annually)
- Verification of KYC, KRA and the supporting documents of the Clients including Corporate, Trust, NRI and FPIs and their related compliances
- Review and updation of KYCs as per the latest guidelines of the Regulators
- Handling and resolving Grievances of Clients
- Formulation/ review of PMLA Policy and their related compliances
- Handling Independent Audits related to all exchanges, depositories and regulatory authorities ensuring best compliance
- Successfully ensured compliance with SEBI and Exchange Circular
- Developed and Implemented Standard Operating Procedures (SOP) for process optimization
- Conducting Regular Inspections of Branches and Authorised Person as per the directions issued by the Exchanges.
Desired Profile / Criteria / Skills :
Experience: 5 to 10 years of relevant experience in Retail broking, wealth management.
Education: Graduate / Postgraduate in related field (MBA preferred), NISM Series VII (Preferred)
Skills Required: Compliance Monitoring, Risk Management, Internal Controls, Auditing processes, Reporting Requirements, Policy analysis, Audit management, Anti-Money Laundering and Internal Audits.
Key Skills :
- Compliance Management
- Sebi Compliance
- Regulatory Compliance
- Kyc Verification
- Kra Compliance
- Pmla Compliance
- Exchange Compliance
- Depository Compliance
- Internal Audit
- Inspection Handling
- Client Grievance Handling
- Risk Management
- Sop Development
- Regulatory Reporting
- Compliance Audits
- Branch Inspection
- Nri Compliance
- Fpi Compliance
- Quality Assurance
- Financial Compliance
Company Profile
A fast-growing organization redefining the investment landscape through innovation, market expertise, and client-focused solutions. The company is driven by a vision to create smarter financial opportunities and deliver excellence across investment and advisory domains. With a strong focus on wealth creation and customer success, it offers tailored investment solutions backed by research and strategic insights. Driven by performance, trust, and excellence, the organization fosters a high-growth environment for both clients and professionals. Known for its modern approach and entrepreneurial culture, it continues to build a strong presence in the industry.
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