VP - Regulatory Compliance

• Opportunity to lead the compliance function.
• Opportunity to lead a large team and have an impactful role

About Our Client A Capital Market firm based in Mumbai

Job Description

• Support the CRO in overseeing the regulatory and compliance functions.

• Ensure compliance with SEBI regulations, SECC regulations, Exchange byelaws, rules, circulars, and applicable laws.

• Supervise regulatory functions including:

• Market Surveillance

• Compliance

• Investigations

• Member Inspection

• Investor Services

• Arbitration and Investor Protection

• Coordinate with SEBI, stock exchanges, depositories, and other regulatory authorities on compliance and regulatory matters.

• Lead and support SEBI inspections, regulatory audits, and compliance reviews.

• Review surveillance alerts, inspection findings, and investigation reports, ensuring timely action and closure.

• Assist in developing and implementing regulatory policies, SOPs, governance frameworks, and internal controls.

• Collaborate with Technology, Operations, Legal, and other functions to ensure regulatory compliance across the organization.

• Monitor regulatory developments and assess their impact on Exchange operations.

• Support disciplinary proceedings, member compliance issues, and investor grievance resolution.

• Prepare regulatory MIS, compliance reports, and presentations for senior management and

The Successful Applicant We're Looking For Someone Who Has

• Strong understanding of regulatory compliance in Capital markets
• Experience in compliance within the brokerage industry.
• Knowledge of regulatory frameworks and reporting standards.
• Ability to lead and manage a compliance team effectively.
• Excellent communication and problem-solving skills.

What's on Offer

• Key leadership role in a brokerage firm in Mumbai.
• Opportunity to shape compliance practices.
• Competitive compensation package.

If you're interested in this role, we'd like to hear from you.

Contact Quote job ref: JN-072026-7075272