Regulatory Compliance Manager

ICICI Securities · Maharashtra, 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.

• Conduct investigations into compliance breaches or potential violations and recommend appropriate actions.
• Work closely with other departments to support compliance initiatives and ensure alignment with organizational goals.

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