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Job Title: Associate Manager - Regulatory Compliance
Department: Core Compliance – Regulatory

Location: Kargil Chowk, Piplod, Surat

Reporting To: Deputy Manager

Educational Qualifications:
  • Preferred: Advanced degree or professional certification in compliance or regulatory affairs (CS, CA, LMP, LLB).
Experience:
  • Required: 2-3 years of experience in regulatory compliance.
  • Preferred: Experience in the broking industry.
Salary Range : upto 60000/- CTC per month 

Key Responsibilities:
  • Develop, implement, and manage compliance policies and procedures in adherence to Indian laws, regulations, and industry standards.
  • Conduct regular audits and assessments to identify areas of non-compliance and implement corrective actions.
  • Stay updated on regulatory requirements and ensure company policies align with changes.
  • Collaborate with internal teams on compliance-related matters in product development, marketing, and operations.
  • Liaise with external regulatory bodies and government agencies for compliance issues and approvals.
  • Provide training and education to employees on compliance topics to foster a compliance culture.
  • Monitor and report compliance metrics and key performance indicators to senior management.
  • Lead investigations into compliance violations and implement corrective actions.
  • Act as the primary point of contact for regulatory inquiries from regulators, customers, and stakeholders.
  • Continuously assess and improve the effectiveness of the compliance program.
Candidate Requirements:
  • Strong knowledge of Indian regulatory requirements and compliance best practices.
  • Excellent analytical skills with high attention to detail.
  • Strong communication and interpersonal skills, with the ability to engage effectively with all stakeholders.
  • Proven ability to manage multiple projects in a fast-paced environment.
  • Preferred certification in compliance or a related field (e.g., Certified Regulatory Compliance Manager).
  • Proficiency in Microsoft Office Suite and compliance management software.

Requirements
  • Candidate should be Qualified Chartered Accountant, CS, LLB, LMP 
  • Candidate should have more than 2-3 years of experience in total. 
  • Candidate should have a mindset for long term association 
  • Surat local candidates will be given preference.
Company Information :

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  • Job Timings : 10 am to 7 pm 
  • Total Team Size : >100

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