Compliance lead

We are currently seeking a Compliance Lead with 8-14 years of experience to join our organization. The ideal candidate should possess strong expertise in compliance management, risk assessment, and regulatory adherence. CA, CS, or MBA qualifications are preferred.

Requirements :

Implementation of circulars issued by SEBI, Exchanges & DPs Responding to queries of operations and business team Compliance review of various products Representation to regulators on various issues and  Managing regulatory inspection and queries received from regulators Responding to regulatory inquiries and data requests  Ensuring compliance requirements as per Exchange/SEBI Regulations Handling internal audits/ system audit/ cyber security audits and submission Ensuring regulatory submissions are adequate and timeline is maintained Review of various policies as per regulatory change Ensuring compliances with respect to SEBI PIT Regulations Implementation and corrective actions for regulatory observations Ensuring regulatory approvals for advertisements Reviewing and updating internal documents and SOPs as per applicable guidelines  Ensuring adequate MIS reporting on various compliance aspects Driving compliance culture and collaborative approach with stakeholders Well – versed with digital client onboarding process