Regulatory compliance manager

ICICI Securities · Navi mumbai, India

Job Summary:

10-15 years of experience including experience in handling onsite and offsite inspections and an exposure in handling compliance audits (broking/ non broking) to ensure adherence to laws, regulations and organization policies. The candidate should have knowledge and experience in in-depth understanding of relevant regulations, industry standards, and compliance frameworks.

Key Requirements: Handling onsite and offsite inspections of SEBI & Exchanges Handling broking and non-broking audits Perform regular compliance audits to ensure adherence to laws, regulations, and company policies. Identify and evaluate potential compliance risks and recommend mitigation strategies. Review and update compliance policies and procedures to reflect current regulations and best practices. Review and update compliance policies and procedures to reflect current regulations and best

practices.

Qualification:

CA / CS / CA Inter / Master’s Degree or Equivalent Qualification

Certifications in Capital Market/ relevant work experience in onsite & offsite inspections and audits will be added advantage

Skills & Experience: Strong analytical skills and ability to assess the changes in regulations. Good communication skills. Proficiency in compliance management software and tools. High level of accuracy and attention to detail in reviewing documentation and assessing compliance. Demonstrated integrity and ability to handle sensitive information with confidentiality. Strong in decision making, problem solving and provide guidance to internal teams