Functional Head -Compliance

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Date: Jul 15, 2026

Location: NAVI MUMBAI, IN

Company: icicisecur

 

We are seeking a highly motivated Compliance Professional to join our team who will be responsible for overseeing the compliance processes within the organization. This role involves managing a team of compliance professionals, ensuring adherence to regulatory requirements, and implementing effective compliance strategies.

The ideal candidate will possess strong leadership skills, have strong analytical skills and ability to assess changes in regulations/ laws under which the products operate. The right candidate should be strong in decision making, problem solving and provide guidance to other stakeholders in complex situations. The candidate should have Strong acumen in iof working and nteraction with exchanges(NSE/BSE/MCX/NCDEX) / regulators (SEBI)/ other stake holders for regulatory queries / Trading System pertaining to both equity adn Non equity broking related activities.

I. Purpose of the role:

II. Key Responsibilities (This should reflect the process/sub-process in which the position plays a role and specifically indicate the actions to be taken.)

 

Sl No.

 

Key Responsibility

Descriptive Parameters

1.

Team Management:

 
    • Lead and mentor a team of compliance professionals, providing guidance and support.
    • Conduct performance evaluations and manage professional development for team members.
    • Allocate resources and manage workloads effectively to meet compliance review objectives.

2.

Compliance Oversight:

 
    • Keep up to date with any regulatory or statutory changes and policies that might affect the organization and take appropriate action arising out of the regulatory circulars, including any regulatory changes and formulating policies
    • Review and assess compliance risks and controls across various functions of the organization.
    • Develop and implement compliance review methodologies and best practices.
    • Regularly apprise the management on status of compliance and report any deviations/area of concerns
    • Work with stakeholders and drive regulatory compliances for Stock Broking Business
    • Review operative processes from regulatory compliance standpoint
    • Coordinate with Exchanges( NSE/BSE/MCX/NCDEX) on new developments if any and follow up pertaining to inspection queries and circular clarification

3.

Regulatory Adherence:

 
    • Stay updated on relevant laws, regulations, and industry standards and engage with intermediaries/broker forums for representing the Company
    • Ensure that all compliance activities align with regulatory requirements and organizational policies.
    • Handle Regulatory Audits, offsite Inspections, Investigations and other ad-hoc audits to identify possible weaknesses or risks. Also ensure responses to the regulator’s observation are provided on timely manner.
    • Address and resolve any compliance issues or violations identified during reviews.
    • Work with various stakeholders on open compliance risks and validate manner of risk mitigation and assist them in solving Ad-hoc or systematic problems related to regulations.
    • Ensure that all the Regulatory submissions are made on timely manner and approvals required are in place including code of conduct of a member for advertisements.

4.

Reporting and Documentation:

 
    • Prepare detailed reports on compliance review findings and recommendations.
    • Maintain accurate and up-to-date documentation of compliance activities and procedures.
    • Present findings and recommendations to senior management and other stakeholders.

 

5.

Process Improvement:

 
    • Identify areas for improvement in compliance processes and propose enhancements.
    • Implement changes to improve efficiency and effectiveness of compliance reviews.
    • Monitor and evaluate the impact of process improvements.

 

6.

Training and Development:

 
    • Develop and deliver training programs for staff on compliance-related topics.
    • Promote a culture of compliance awareness and ethical behaviour within the organization.

 

Note:  Additional responsibilities may be added from time to time depending on organisational requirements

Mus    Must Include:

       -Candidate should have indepth knowledge of Equity market and SEBI related compliance activities, including handling both Broking (Equity) and Non- Broking (MF/PMS/NPS) related compliances.

            -Experience of working in Qualified Stock Broking houses would be a added advantage.

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