Senior Manager – Capital Market Compliance

Job Description – Senior Manager, Compliance & Ethics Location: Kerala Experience: 8–10 years of experience in compliance, risk management, or regulatory affairs within the financial services industry. Qualification: Bachelor's or Master's Degree Department: Compliance & Ethics Job Overview We are hiring a Senior Manager – Compliance & Ethics for a leading financial services company.

The candidate will be responsible for ensuring regulatory compliance, monitoring exchange circulars, managing compliance reporting, and coordinating regulatory audits and inspections.

Key Responsibilities

Ensure compliance with SEBI, NSE, BSE, MCX, NCDEX, and other applicable regulations. Review and implement regulatory circulars and updates. Prepare weekly reports and presentations on regulatory changes. Ensure timely submission of regulatory reports and filings. Handle exchange notices, inquiries, and responses. Coordinate internal and external audits and regulatory inspections.

Update and maintain compliance policies and procedures. Review transaction surveillance alerts from commodity exchanges. Identify compliance risks and recommend corrective actions. Coordinate with internal departments on compliance-related matters. Supervise team members and ensure timely completion of tasks.

Requirements

Bachelor's or Master's degree from a recognized institution. 8–10 years of experience in compliance, risk management, or regulatory affairs within the financial services industry. Good knowledge of SEBI regulations and stock or commodity exchange compliance. Strong analytical, communication, and report-writing skills.

Good organizational and team management skills. Relevant regulatory certifications as applicable.