Compliance Manager

Key Responsibilities:Exchange Circular Compliance:Monitor, Analyze, and interpret circulars, notifications, and directives issued by exchanges (e.g., NSE, BSE) and regulatory bodies (e.g., SEBI).Assess the impact of new circulars on business processes and operational procedures.Coordinate with relevant departments (e.g., trading, operations, IT) to ensure timely implementation of applicable circular requirements.Maintain a circular tracker and ensure that actions taken are documented and auditable.Draft and update internal compliance manuals and SOPs based on circulars and regulatory changes.Communicate relevant regulatory changes across the organization in an accessible and actionable format.Audit Management (Internal & External):Lead and coordinate periodic internal audits and regulatory/exchange inspections.Liaise with auditors (statutory, internal, SEBI, exchange-appointed) and ensure all required documentation and data are prepared and submitted.Address audit observations and implement corrective action plans in collaboration with other teams.Maintain audit logs, evidence, and historical audit records for regulatory reference and future inspections.Ensure closure of non-compliance issues raised during audits within stipulated timelines.Conduct periodic internal compliance checks to identify gaps and improve readiness for inspections.Qualifications & Skills:Bachelor’s or Master’s degree in Law, Finance, Commerce, OR CA.5-6 years of experience in compliance within a brokerage, stock exchange, or financial services environment.Strong understanding of SEBI regulations and exchange rules.Experience handling audits and regulatory inspections, including SEBI and exchange audits.Excellent document management, reporting, and analytical skills.Familiarity with compliance tracking tools and audit software is an advantage.Strong verbal and written communication skills to interface with regulators and auditors.Preferred CertificationsNISM Series certifications