Job Detail

Min. Graduation

5+ years of experience in compliance, risk management, or a related area within the financial services industry.

General brief about the role:

As a Senior Manager in the Compliance and Ethics Department, they will play a crucial role in ensuring that the company adheres to all compliance and regulatory requirements while upholding the highest standards of ethical conduct. They will assist in ensuring compliance with all applicable laws, regulations, and guidelines issued by regulatory bodies.

Essential Duties and Responsibilities:

• Assist in ensuring compliance with all applicable laws, regulations, and guidelines issued by regulatory bodies such as SEBI, NSE, BSE, MCX, NCDEX and other financial authorities.
• Scrutinize and disseminate regulatory circulars on a day-to-day basis and ensure the implementation of the provisions specified in the circulars.
• Weekly presentation of circulars to higher level.
• Ensure the timely submission of reports/filings to commodity exchanges.
• Verify intimations / inquiries from the exchanges and prepare responses.
• Assist in conducting regular audits and reviews to ensure compliance with the policies and external regulations.
• Follow up with requirements relating to Regulatory Inspections, including providing the documentary requirements by coordinating with other departments.
• Verify, develop, update, and maintain policies and procedures related to regulatory compliance.
• Verify transaction surveillance alerts from commodity exchanges.
• Help in identifying potential areas of compliance vulnerability and risk.
• Collaborate effectively with various departments to promote a unified strategy for compliance and ethics throughout the organization.
• Keep update with the new regulations and rules.
• Suggest and implement improvements to the compliance and ethics programs.
• Supervising the duties of team members.
• Executing the additional responsibilities designated by the reporting officer cum compliance officer /Head of the Department, as per the requirements.

Skill Sets:

• Market knowledge (understand the dynamics of financial business)
• Analytical skills
• Communication Skills
• Writing Skills
• Organizing skills

Behavioural Competencies

• Perseverance
• Interpersonal skills
• Willingness to learn
• Initiative
• Teamwork and Cooperation
• Result Oriented

Certifications

Mandatory certifications must be acquired as per the Industrial Certification policy of the Company.