Regulatory Compliance Manager

Key Responsibilities:

1. Regulatory Review & Business Impact Assessment

• Examine regulations governing Stock Brokers, Research Analysts, Investment Advisers, and Alternative Investment Funds (AIFs) from a business and operational perspective.
• Identify regulatory challenges, assess business implications, and provide actionable recommendations to management.

1. Data Analysis & Management Reporting

• Analyze internal business and compliance data to identify trends, exceptions, and areas of concern.
• Prepare insightful reports, dashboards, and presentations for senior management to support decision-making.

1. Regulatory Enforcement & Compliance Monitoring

• Review past SEBI orders, enforcement actions, and regulatory observations to identify common violations and compliance gaps.
• Evaluate existing i...

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