Manager Exchange Compliance

Key Responsibilities

 Ensure timely submissions of periodic compliance reporting to SEBI, Exchanges, and

Depositories.

 Tracking of regulatory changes/ circulars from regulatory authorities on regular basis,

conducting impact analyses and implementing the same.

 Maintain the updated Compliance Calendar to track all applicable compliance reporting,

review and updating the policies.

 Handle regulatory inspections initiated by SEBI, Stock Exchanges, or Depositories.

 Manage Internal Audits, System/ Cybersecurity Audits etc.

 Handling off site alerts/enquiries from exchanges, draft formal replies and provide

comprehensive documentation to rectify and closure of any inspection observations or

systemic gaps.

 Oversee compliances relating to KYC (online KYC), PMLA, surveillance frameworks and

new products development.

Qualifications

Graduate or Postgraduate in Commerce, Finance, Law or MBA.

 Minimum 5 years of core experience handling Stock Broking, Depository compliances.

 NISM Certifications such as: NISM Series VII (Securities Operations and Risk

Management), NISM Series IIIA (Securities Intermediaries Compliance (Non-Fund)

Certification Examination) are preferred.

 Exhaustive understanding of the SEBI Regulations, Stock exchange guidelines/

circulars, Depository Guidelines.

 Proficiency with Exchange Member Portals, Depository Portals, MS Excel capability.