Manager – Compliance (Non-Broking and Cyber security)

Job Role and Responsibilities:

• Implement and manage compliance processes for non-broking licenses and activities including PMS, AIF, Mutual Funds, Merchant Banking, Research, Wealth Management, and Investment Advisory.
• Ensure end-to-end implementation of regulatory circulars and updates across relevant business verticals.
• Track, interpret, and assess changes in laws, regulations, and regulatory guidelines affecting the organization and its products.
• Formulate, update, and revise internal policies in line with regulatory changes.
• Coordinate with internal stakeholders to ensure regulatory requirements are operationalized effectively.
• Provide timely responses to regulators for data requests, observations, and queries.
• Prepare policy suggestions/representations to MIIs and provide feedback on draft regulatory proposals.
• Engage with exchanges, regulators, and broker forums for regulatory interactions and industry representation.
• Ensure all compliance activities align with applicable regulatory requirements and internal organizational policies.
• Ensure timely submission of regulatory filings and disclosures.
• Maintain accurate and up-to-date documentation of compliance activities, processes, and procedures.
• Oversee IT and cyber security compliance in coordination with Information Security and technology teams.
• Provide guidance and advisory support to internal teams on regulatory interpretation and compliance matters.

Qualification:

• Masters Degree in Business Administration, Finance, Law, CA, CS, or a related field.
• Masters degree or professional certifications preferred.
• CISA/DISA or certifications in Capital Markets / Audit would be an added advantage.

Experience & Skills:

• Overall 8 - 15 years of experience in Compliance, Audit, or Risk Management.
• Relevant experience in Wealth Management / PMS / Capital Markets compliance function.
• Experience in managing regulatory compliances for non-broking licenses.
• Exposure to regulatory interactions and handling data submissions to regulators.
• Strong understanding of regulatory frameworks pertaining to Wealth Management, PMS, AIF, Mutual Funds, and related activities.
• Strong analytical and logical thinking ability.
• Ability to interpret regulatory circulars and translate them into actionable processes.
• Excellent stakeholder management and cross-functional coordination skills.
• Strong organizational and documentation skills.
• High level of accuracy and attention to detail in reviewing documentation.
• Strong written and verbal communication skills.
• High integrity and ability to handle sensitive information with confidentiality.
• Problem-solving mindset with ability to provide practical compliance guidance.

Proficiency in compliance management software/t