Regulatory Compliance Manager
Location
mumbai, maharashtra
Job Type
Full-time
Category
Other-General
Posted
June 19, 2026
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 i...