Manager - Compliance

Dreamsports

Mumbai permanent

Posted: December 17, 2025

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Required Skills

Compliance Frameworks Regulatory Reporting Statutory Returns SEBI Guidelines NSE Guidelines BSE Guidelines Compliance Calendar Employee Training Regulatory Risk Assessment Regulatory Audits

Job Description

Your Role:
• Develop, implement and monitor internal compliance frameworks, policies and controls to ensure regulatory adherence
• Ensure adherence to regulatory reporting, surveillance and timely submission of statutory returns with accuracy and completeness
• Lead day-to-day compliance operations for the broking and investment business, ensuring alignment with SEBI, NSE, BSE and other regulatory guidelines
• Maintain and track a comprehensive compliance calendar covering SEBI, exchange and internal requirements
• Support periodic employee training and awareness programs on compliance obligations
• Partner with business, product and legal teams to assess regulatory risks and ensure compliant execution of new initiatives
• Serve as a key liaison during regulatory audits, inspections and inquiries, ensuring clear communication and timely responses

Qualifiers:
• 4+ years of experience in compliance within banking or financial services
• Experience working with or supporting online broking platforms
• Strong understanding of SEBI, NSE, and BSE regulatory guidelines

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