Regulatory Compliance Manager

About the Company Jainam Broking Limited is a fast-growing financial services organisation delivering comprehensive investment and wealth management solutions across India. With a strong foundation of trust, innovation, and client-centricity, Jainam continues to expand its presence in the capital markets ecosystem.About the Role We are seeking an experienced and detail-oriented Manager – Regulatory (Operations & Compliance Core) to oversee regulatory adherence, operational risk monitoring, and compliance governance within the organisation. The role will be responsible for ensuring end-to-end regulatory compliance across Equity, Derivatives, Currency, Commodity, and Depository operations, while supporting audits, inspections, reporting, and internal control mechanisms.Responsibilities Regulatory Compliance & Governance Ensure compliance with SEBI, Exchange (NSE/BSE), and Depository (NSDL/CDSL) regulations Monitor regulatory circulars and ensure timely implementation Assist in drafting and updating internal policies, SOPs, and compliance manuals Liaise with exchanges, depositories, and regulators for reporting and clarifications Support implementation of new regulatory changes across operationsOperational Oversight Supervise daily trading operations and back-office processes Monitor client onboarding (KYC, CKYC, AML, PMLA compliance) Oversee margin framework (Peak Margin, ELM, VAR, MTM reporting) Monitor client funding, pledge/re-pledge mechanisms, and RMS reporting Ensure accurate funds & securities reconciliation (Client & Proprietary segregation) Oversee DP operations and account modifications (if applicable) Support enhanced supervision and investor grievance handling processesInspection & Audit Support Coordinate SEBI, Exchange, and Depository inspections Prepare documentation and data for regulatory audits Track and ensure timely closure of audit observations Maintain updated compliance records and audit-ready documentationRisk Management & Controls Identify operational and compliance risks and recommend mitigation measures Ensure adherence to AML & PMLA guidelines Conduct internal compliance reviews and periodic checks Strengthen maker-checker processes and documentation standards Assist in improving system-based compliance monitoringReporting & Documentation Prepare and submit regulatory filings within defined timelines Ensure accuracy in margin reporting, client funding disclosures, and exchange submissions Maintain statutory registers and compliance records Prepare compliance MIS and present key updates to senior managementTeam & Cross-Functional Coordination Mentor and guide junior compliance/operations team members Coordinate with RMS, Finance, Legal, Technology, and Business teams Conduct compliance awareness sessions for operational staff Support senior leadership with regulatory data and reporting insightsQualifications Educational Qualification Graduate/Postgraduate in Finance, Commerce, or related field NISM certifications (mandatory as applicable) CA / CS / MBA (Finance) / LLB preferredExperience 7–12 years of experience in stock broking/capital markets Hands-on experience with exchange compliance, inspections, and audits Strong exposure to broking operations and back-office processesRequired SkillsTechnical Knowledge Strong understanding of SEBI regulations Exchange compliance (NSE/BSE) Depository compliance (NSDL/CDSL) Margin framework & reporting PMLA & AML guidelines Trading platforms and RMS/back-office systemsCore Competencies Strong analytical and risk assessment skills High attention to detail Excellent documentation and regulatory drafting skills Strong stakeholder coordination abilities Ability to work effectively under regulatory deadlinesPreferred Skills Experience in retail / discount broking firm Exposure to multi-exchange membership structure Familiarity with RMS systems and compliance dashboards Basic understanding of algorithmic/API trading compliance (preferred)

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