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Senior Manager- Regulatory Compliance (Gandhinagar)
Work from home
#773511
Remote / WFH
Important Business
Job Description
This role is for one of the Weekday's clients
Min Experience: 8 years
Location: Gandhinagar
JobType: full time
We are looking for a Senior Manager – Regulatory to lead and oversee critical regulatory functions within a financial market infrastructure environment. This role is responsible for ensuring strong regulatory governance across surveillance, membership compliance, inspections, listings, and exchange compliance while maintaining close coordination with regulators and internal stakeholders. We play a key role in strengthening market integrity, ensuring adherence to regulatory timelines, and delivering high-quality reporting and analysis to senior leadership and regulatory authorities. This position is ideal for a seasoned regulatory professional who brings deep domain expertise, strong judgment, and the ability to guide teams in a highly regulated ecosystem.
Key Responsibilities
- Oversee day-to-day regulatory operations, ensuring adherence to defined processes, timelines, and service-level agreements
- Supervise surveillance activities, including alert generation, monitoring, timely closure, and preparation of periodic market and alert reports
- Lead preliminary investigations arising from surveillance alerts and submit findings to committees and regulatory authorities
- Monitor and guide membership compliance activities, ensuring adherence to exchange and regulatory requirements and addressing member queries
- Ensure timely submission of regulatory reports and compliance with applicable rules and regulations
- Oversee inspection processes, review findings, and ensure implementation of corrective actions by trading members
- Monitor listing compliance activities and track regulatory changes to ensure timely incorporation into listing processes
- Prepare and present MIS, analysis, and reports for senior management, committees, and regulators
- Collaborate with internal stakeholders, including leadership, committees, and group entities, as well as external stakeholders such as regulators, members, and auditors
- Drive continuous improvement through process enhancements, training, and coaching of team members
What Makes You a Great Fit
- Chartered Accountant or Company Secretary with 10+ years of relevant experience in regulatory functions within financial markets or exchanges
- Strong expertise in regulatory compliance, surveillance, membership compliance, listing compliance, and exchange compliance
- Proven ability to manage regulatory teams, ensure SLA adherence, and maintain high-quality analytical reporting
- Strong understanding of regulatory frameworks and the ability to interpret and implement regulatory changes effectively
- Excellent stakeholder management skills with experience interacting with regulators, auditors, and senior leadership
- High attention to detail, strong analytical skills, and sound professional judgment
- Commitment to continuous learning, team development, and process improvement
- Ability to operate with integrity, independence, and accountability in a highly regulated environment
Min Experience: 8 years
Location: Gandhinagar
JobType: full time
We are looking for a Senior Manager – Regulatory to lead and oversee critical regulatory functions within a financial market infrastructure environment. This role is responsible for ensuring strong regulatory governance across surveillance, membership compliance, inspections, listings, and exchange compliance while maintaining close coordination with regulators and internal stakeholders. We play a key role in strengthening market integrity, ensuring adherence to regulatory timelines, and delivering high-quality reporting and analysis to senior leadership and regulatory authorities. This position is ideal for a seasoned regulatory professional who brings deep domain expertise, strong judgment, and the ability to guide teams in a highly regulated ecosystem.
Key Responsibilities
- Oversee day-to-day regulatory operations, ensuring adherence to defined processes, timelines, and service-level agreements
- Supervise surveillance activities, including alert generation, monitoring, timely closure, and preparation of periodic market and alert reports
- Lead preliminary investigations arising from surveillance alerts and submit findings to committees and regulatory authorities
- Monitor and guide membership compliance activities, ensuring adherence to exchange and regulatory requirements and addressing member queries
- Ensure timely submission of regulatory reports and compliance with applicable rules and regulations
- Oversee inspection processes, review findings, and ensure implementation of corrective actions by trading members
- Monitor listing compliance activities and track regulatory changes to ensure timely incorporation into listing processes
- Prepare and present MIS, analysis, and reports for senior management, committees, and regulators
- Collaborate with internal stakeholders, including leadership, committees, and group entities, as well as external stakeholders such as regulators, members, and auditors
- Drive continuous improvement through process enhancements, training, and coaching of team members
What Makes You a Great Fit
- Chartered Accountant or Company Secretary with 10+ years of relevant experience in regulatory functions within financial markets or exchanges
- Strong expertise in regulatory compliance, surveillance, membership compliance, listing compliance, and exchange compliance
- Proven ability to manage regulatory teams, ensure SLA adherence, and maintain high-quality analytical reporting
- Strong understanding of regulatory frameworks and the ability to interpret and implement regulatory changes effectively
- Excellent stakeholder management skills with experience interacting with regulators, auditors, and senior leadership
- High attention to detail, strong analytical skills, and sound professional judgment
- Commitment to continuous learning, team development, and process improvement
- Ability to operate with integrity, independence, and accountability in a highly regulated environment
