Regulatory Compliance

– Compliance & Regulatory Reporting (Technology & Cyber Compliance)

Department: Compliance

Role Objective:

To ensure timely, accurate, and compliant execution of all regulatory reporting, audits, and submissions to Stock Exchanges and internal stakeholders, in line with SEBI regulations and Exchange/ Depository guidelines.

Key Responsibilities: Regulatory Reporting & Submissions

• Manage and ensure timely submission of various regulatory reports to all Stock Exchanges/ Depositories:
• Coordinate with internal teams to gather accurate data for regulatory filings.
• Maintain Compliance Calendar for all regulatory submissions and audit timelines.
• Maintain MIS and Audit Trail for the submissions.

Audit Management & Compliance Monitoring

• Coordinate and oversee completion of:
• Internal Audit Report and submission of Action Taken Report (ATR) (Half-Yearly)- Broking and Depository Operations
• System Audit Report and submission of Action Taken Report (ATR) (Half-Yearly)
• VAPT (Vulnerability Assessment & Penetration Testing) Audit and ATR (Half-Yearly)
• Cyber Security Audit and ATR (Half-Yearly)
• Track audit observations and ensure timely closure through continuous follow-ups.

Advertisement & Website Compliance

• Review/ Submission of Advertisement to Exchange in line with the Code of Advertisements and maintaining the MIS of the same.

Handling of Exchange/ Depository off-site/ on-site Inspections/ Queries

• Liasoning with Exchanges, Depositories for the Inspections and Audit.
• Escalate delays, deviations, and compliance risks to senior team members.

Candidate Profile:

Educational Qualification:

• Graduate/Postgraduate, MBA, LLB

Experience:

• 3–5 years of experience in Compliance/Regulatory Reporting in a broking
• Hands-on experience with SEBI/Exchange compliance requirements

Skill Set:

• Strong understanding of SEBI and Stock Exchange compliance framework
• Excellent coordination and follow-up skills
• Attention to detail and ability to manage multiple deadlines
• Strong documentation and communication skills