Manager-Regulatory and Review Compliance

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Date: Feb 10, 2026

Location: NAVI MUMBAI

Company: icicisecur

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.

Onsite and offsite inspections of SEBI & Exchanges
  • Handling onsite and offsite inspections of SEBI & Exchanges

2.

Compliance & Regulatory Audits:

 

 

 
  • Handling broking and non-broking audits
  • Perform regular compliance audits to ensure adherence to laws, regulations, and company policies.

3.

Risk Assessment:

 

 
  • Identify and evaluate potential compliance risks and recommend mitigation strategies.

 

4.

Policy Review:

 

 
  • Review and update compliance policies and procedures to reflect current regulations and best practices.

 

5.

Documentation:

 

 

 

 
  • Maintain comprehensive records of compliance activities, audit findings, and corrective actions taken.

 

 

6.

Training & Support:

 
  • Develop and deliver training programs to educate employees about compliance requirements and best practices.

7.

Reporting:

 
  • Prepare detailed reports on audit findings, compliance status, and improvement recommendations for senior management.

 

8.

Investigations:
  • Conduct investigations into compliance breaches or potential violations and recommend appropriate actions

9.

Collaboration: 
  • Work closely with other departments to support compliance initiatives and ensure alignment with organizational goals.

 

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 strong analytical skills and ability to assess the changes in regulations.
  1. Skills: Strong organizational, and communication skills. Proficiency in compliance management software and tools.
  2. Attention to Detail: High level of accuracy and attention to detail in reviewing documentation and assessing compliance.
  3. Ethics: Demonstrated integrity and ability to handle sensitive information with confidentiality.
  1. The candidate should be strong in decision making, problem solving and provide guidance to internal teams
  2. Overall 2-3 years of experience in stock broking compliance.
  1. Knowledge and experience in In-depth understanding of relevant regulations, industry standards, and compliance frameworks.

Qualification:

CA / CS / CA Inter / Master’s Degree or Equivalent Qualification

Certifications in Capital Market/ relevant work experience in onsite & offsite inspections and audits will be added advantage