Deputy Vice President - Regulatory

Location: Jainam House. Department: Regulatory - JBL. Employment Type: Permanent. Applications Received: 0. Closes On: 24 Dec, 2026.

About the role

The Deputy Vice President (DVP) – Compliance Officer will be responsible for overseeing and managing the entire compliance framework of the stock broking business. The role involves ensuring adherence to SEBI, NSE, BSE, MCX, CDSL, NSDL, FIU-IND, PMLA, and other regulatory requirements, while driving a strong compliance culture across the organization. The incumbent will act as a key liaison with regulators, exchanges, depositories, auditors, and internal stakeholders, ensuring that all business activities are conducted in accordance with applicable laws, regulations, and internal policies.

Responsibilities

• Regulatory Compliance & Governance: Ensure compliance with all applicable regulations issued by SEBI, NSE, BSE, MCX, CDSL, NSDL, FIU-IND, and other regulatory authorities; monitor regulatory circulars, notifications, and legislative changes and implement necessary compliance measures; develop, review, and update compliance policies, SOPs, manuals, and internal controls; provide compliance guidance to business units on regulatory and operational matters.
• Exchange & Depository Compliance: Supervise timely submission of regulatory reports, returns, audits, and certifications; manage exchange inspections, regulatory audits, and compliance reviews; coordinate responses to observations raised by exchanges, depositories, and regulators; monitor compliance with trading operations, client onboarding, margin reporting, investor grievances, and risk management regulations.
• AML & PMLA Compliance: Oversee Anti-Money Laundering (AML) and Prevention of Money Laundering Act (PMLA) compliance framework; ensure proper customer due diligence (CDD), KYC verification, enhanced due diligence, and transaction monitoring; review alerts generated through AML systems and ensure timely reporting of suspicious transactions; coordinate with FIU-IND and regulatory agencies on AML-related requirements.
• Monitoring & Surveillance: Monitor surveillance alerts and identify potential regulatory breaches; review insider trading, market manipulation, front-running, and other suspicious trading activities; coordinate with surveillance, RMS, dealing, and operations teams for regulatory investigations; ensure closure of surveillance observations within prescribed timelines.
• Secretarial & Regulatory Filings: Oversee statutory and regulatory filings with exchanges, depositories, and regulatory bodies; ensure maintenance of statutory registers, records, and compliance documentation; support Board and Committee meetings through compliance reporting and governance updates.
• Audit & Inspection Management: Lead Internal Audit, Concurrent Audit, System Audit, and Regulatory Audit compliance; track audit observations and drive timely closure of compliance gaps; coordinate with external aud