Details of the Organization

To be the most reliable technology based assessment company in India to evaluate people’s functional & technical skills.
To provide a robust Technology platform with relevant content to Govt & Corporate enterprises

Details of the Job/Internship

IAssess Consultants LLP is hiring for the position of Compliance Manager_Broking/Investment with 5-6 years of experience to join their office in  Chandigarh.

Role and Responsibilities

1. Regulatory Circular Compliance

• Track, analyze, and interpret circulars, directives, and guidelines issued by SEBI, NSE, BSE, and other regulators.
• Evaluate the impact of new regulatory developments on internal processes and workflows.
• Collaborate with cross-functional teams (e.g., operations, trading, IT) to implement regulatory changes effectively.
• Maintain a centralized circular compliance tracker and ensure documentation is audit-ready.
• Draft, update, and disseminate internal compliance manuals, SOPs, and process notes.
• Communicate regulatory updates across departments in a simplified, actionable manner.

2. Audit & Inspection Management

• Lead and coordinate internal audits and external regulatory inspections (including SEBI, exchange-appointed, statutory, and internal audits).
• Prepare and submit required audit documentation, responses, and data sets.
• Address audit observations by implementing corrective and preventive action plans.
• Maintain historical audit records, evidence logs, and follow-up trackers.
• Proactively conduct internal checks and assessments to identify compliance gaps.
• Ensure timely closure of all audit-related findings and non-compliance issues.

Eligibility

• Bachelor's or Master’s degree in Law, Commerce, Finance, or Chartered Accountant (CA).
• 5–6 years of experience in a compliance role within a brokerage, exchange, or financial institution.
• In-depth understanding of SEBI regulations and stock exchange rules (NSE, BSE).
• Proven experience managing audits and regulatory inspections, especially from SEBI and exchanges.
• Strong skills in regulatory interpretation, documentation, reporting, and stakeholder coordination.
• Proficient with compliance tracking tools and audit management systems (preferred).
• Excellent attention to detail, communication, and cross-team collaboration skills.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

Address

Chandigarh, Chandigarh, India.

Application and Registration Details

After you submit your application, you will receive the next steps in the process via email. Please follow the instructions provided to complete your application.

Incase you find any issue with the application process, please contact: [email protected] 

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