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VP - Regulatory Compliance

Mumbai Permanent View Job Description
As a VP - Regulatory Compliance in Mumbai, you'll ensure the Capital market firm's activities meet all regulatory requirements. You'll oversee compliance processes and guide the team to maintain the highest standards.
  • Opportunity to lead the compliance function.
  • Opportunity to lead a large team and have an impactful role

About Our Client

A Capital Market firm based in Mumbai

Job Description

  • Support the CRO in overseeing the regulatory and compliance functions.
  • Ensure compliance with SEBI regulations, SECC regulations, Exchange byelaws, rules, circulars, and applicable laws.
  • Supervise regulatory functions including:
    • Market Surveillance
    • Compliance
    • Investigations
    • Member Inspection
    • Investor Services
    • Arbitration and Investor Protection
  • Coordinate with SEBI, stock exchanges, depositories, and other regulatory authorities on compliance and regulatory matters.
  • Lead and support SEBI inspections, regulatory audits, and compliance reviews.
  • Review surveillance alerts, inspection findings, and investigation reports, ensuring timely action and closure.
  • Assist in developing and implementing regulatory policies, SOPs, governance frameworks, and internal controls.
  • Collaborate with Technology, Operations, Legal, and other functions to ensure regulatory compliance across the organization.
  • Monitor regulatory developments and assess their impact on Exchange operations.
  • Support disciplinary proceedings, member compliance issues, and investor grievance resolution.
  • Prepare regulatory MIS, compliance reports, and presentations for senior management and



The Successful Applicant

We're looking for someone who has:

  • Strong understanding of regulatory compliance in Capital markets
  • Experience in compliance within the brokerage industry.
  • Knowledge of regulatory frameworks and reporting standards.
  • Ability to lead and manage a compliance team effectively.
  • Excellent communication and problem-solving skills.

What's on Offer

  • Key leadership role in a brokerage firm in Mumbai.
  • Opportunity to shape compliance practices.
  • Competitive compensation package.



If you're interested in this role, we'd like to hear from you.

Quote job ref
JN-072026-7075272

Job summary

Function
Banking & Financial Services
Sub Sector
Compliance & Legal
What is your area of specialisation?
Financial Services
Location
Mumbai
Job Type
Permanent
Job Reference
JN-072026-7075272

Diversity & Inclusion at Michael Page

We don't just accept difference - we celebrate it. We encourage applicants from all backgrounds to apply for this role and are committed to building inclusive, diverse workplaces where everyone can thrive. If you require any support or reasonable adjustments during the recruitment process, please let us know.