Regulatory Compliance Manager

Key Responsibilities: 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. 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. Regulatory Enforcement & Compliance Monitoring Review past SEBI orders, enforcement actions, and regulatory observations to identify common violations and compliance gaps. Evaluate existing internal processes and controls against regulatory expectations and recommend enhancements. Process Automation & Digital Transformation Collaborate with technology, operations, and compliance teams to drive automation initiatives and implement Robotic Process Automation (RPA) solutions. Identify opportunities to improve efficiency, accuracy, and scalability of compliance and monitoring processes. Risk Identification & Surveillance Conduct analysis of internal data to identify potential risks, red flags, anomalies, and suspicious patterns. Develop and strengthen monitoring frameworks to support proactive risk management. Regulatory Circular Review & SOP Development Review exchange circulars, regulatory guidelines, and industry developments on an ongoing basis. Draft, update, and maintain Standard Operating Procedures (SOPs), policies, and compliance frameworks in line with regulatory requirements. Experience: 5 to 10 years Preferred Skills & Competencies Strong understanding of SEBI regulations, exchange guidelines, and financial market intermediaries. Analytical mindset with proficiency in data analysis and reporting. Ability to interpret regulatory developments and translate them into practical business solutions. Experience in compliance monitoring, risk assessment, and process improvement. Knowledge of automation tools, RPA, and data visualization platforms is an advantage. Strong stakeholder management, communication, and drafting skills.