Functional Manager - Broking Compliance

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Date: Oct 14, 2025

Location: NAVI MUMBAI, IN

Company: icicisecur

I. Purpose of the role:

 

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  interaction with exchanges / regulators / other stake holders for regulatory queries / Trading II. SystemKey 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. o 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

3.

Regulatory Adherence:

 

o

Stay updated on relevant laws, regulations, and industry standards and engage with intermediaries/broker forums for representing the Company

 

 

o

Ensure that all compliance activities align with regulatory requirements and organizational policies.

 

 

o

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. 

 

 

o

Address and resolve any compliance issues or violations identified during reviews.

 

 

o

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.

 

 

o

Ensure that all the Regulatory submissions are

4.

Reporting and Documentation:

o

Prepare detailed reports on compliance review findings and recommendations.

 

 

o

Maintain accurate and up-to-date documentation of compliance activities and procedures.

 

 

o

Present findings and recommendations to senior management and other stakeholders.

5.

Process

Improvement:

o

Identify areas for improvement in compliance processes and propose enhancements.

 

 

o

Implement changes to improve efficiency and effectiveness of compliance reviews.

 

 

o

Monitor and evaluate the impact of process improvements.

6.

Training and Development:

 o

Develop and deliver training programs for staff on compliance-related topics.

 

 

o

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.

Skills of required for the Profile:

  1. The candidate should have eye for details, understanding of regulations, strong analytical and logical thinking, and ability to engage and influence cross functional teams.
  2. Skills: Strong organizational, and communication skills. Proficiency in compliance management software and tools.
  3. Attention to Detail: High level of accuracy and attention to detail in reviewing documentation and assessing compliance.
  4. Ethics: Demonstrated integrity and ability to handle sensitive information with confidentiality.
  5. The candidate should be strong in decision making, problem solving and provide guidance to internal teams