Compliance Manager

Bajaj Broking · Pune district, India

About the Role:

We are looking for a strategic, high-caliber Manager – Compliance to lead and shape our regulatory compliance framework. You will play a pivotal role in ensuring the highest standards of integrity, ethical conduct, and legal compliance across our stockbroking and financial services operations.

If you bring a sharp eye for regulatory governance, a track record of driving compliance automation, and strong exposure to SEBI, RBI, and Exchange regulations, this is your opportunity to lead.

Key Responsibilities:

• Regulatory Governance & Compliance: Monitor and implement regulations set by SEBI, RBI, Stock Exchanges (NSE/BSE), and Depositories (NSDL/CDSL) . Track regulatory changes and align internal policies accordingly.
• Policy Framework & Implementation: Formulate, review, and enforce robust compliance policies across all business units and branch networks.
• Inspections, Audits & Regulator Interface: Serve as the primary point of contact for regulatory inquiries. Lead responses for Statutory/Internal Audits and Exchange/Regulatory Inspections.
• Branch & Authorised Person Oversight: Oversee compliance monitoring for branches and Authorised Persons (APs), lead internal investigations into potential violations, and drive corrective actions.
• Reporting & Automation: Prepare and automate periodic compliance filings for senior leadership, Exchanges, and regulatory bodies to ensure zero-error reporting.
• Risk Assessment & Advisory: Evaluate business proposals, marketing campaigns, and new product initiatives to secure necessary regulatory/Exchange approvals.
• Culture & Training: Design and deliver organization-wide compliance training programs to foster a strong culture of ethical conduct and awareness.

What We Are Looking For:

• Education: Bachelor’s degree in Law (LL.B), Finance, Business, or a related field. Relevant certifications (e.g., NISM, CAMS) or a Postgraduate degree are highly desirable.
• Experience: Minimum 5+ years of progressive compliance experience within stockbroking, capital markets, or financial services.

At Bajaj Financial Securities Limited, we are committed to building a diverse, fair, and inclusive workplace. All qualified applicants will receive equal consideration for employment regardless of background, gender, age, or identity.