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The Risk and Compliance Business Analyst/SME role requires over 10 years of experience in Indian retail trading and broking compliance. Candidates should have a strong understanding of SEBI regulations and compliance processes. Responsibilities include leading compliance readiness, stakeholder interactions, and ensuring operational risk controls. Preferred qualifications include NISM certification and experience with surveillance tools.
Job Responsibility:
Lead readiness for SEBI/exchange circulars, regulatory changes, and compliance-driven system enhancements
Analyse regulatory requirements and propose operational, system, and process adjustments
Develop compliance readiness plans including controls, reporting, and process changes
Define SOPs, control matrices, RACIs, compliance workflows
Strengthen operational risk controls across trading, DP, and back-office