CA Fresher ; Regulatory Compliance ; Axis Direct

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Job Description

Regulatory Compliance

• Monitor, analyze, and interpret regulatory circulars, notifications, guidelines, and regulatory developments issued by regulators, exchanges, depositories, and other regulatory authorities.
• Assess the impact of regulatory changes and coordinate implementation across relevant business and support functions.
• Provide regulatory guidance and advisory support to internal stakeholders.
• Maintain regulatory compliance trackers and monitor closure of compliance obligations.

Regulatory Reporting

• Review and monitor periodic, event-based, and ad-hoc regulatory submissions.
• Ensure accuracy, completeness, and timely submission of regulatory reports and disclosures.
• Coordinate with internal stakeholders for collection, validation, and submission of regulatory data.

Compliance Monitoring & Testing

• Conduct compliance reviews and testing to assess adherence to regulatory requirements and internal policies.
• Identify compliance gaps and control weaknesses and recommend corrective and preventive actions.
• Track implementation and closure of compliance observations within agreed timelines.

Regulatory Inspections, Audits & Reviews

• Coordinate regulatory inspections, audits, and information requests from regulators, exchanges, depositories, and other authorities.
• Compile and review information required during inspections and audits.
• Assist in preparation of responses to regulatory observations, queries, and audit findings.
• Monitor timely closure of observations arising from inspections, audits, and internal reviews.

Policies, SOPs & Governance

• Draft, review, and update compliance policies, SOPs, manuals, and governance documents.
• Ensure internal policies remain aligned with applicable regulatory requirements and industry practices.
• Support implementation of governance and compliance initiatives across the organization.

Management Reporting

• Prepare compliance MIS, dashboards, and reports for management committees and governance forums.
• Highlight key regulatory developments, compliance risks, and status of corrective actions.
• Assist in preparation of compliance-related presentations and management updates.

Training & Awareness

• Conduct compliance awareness sessions and regulatory training programs for employees.
• Promote awareness of regulatory obligations and compliance requirements across the organization.
• Support initiatives aimed at strengthening the compliance culture.

Stakeholder Coordination

• Liaise with regulators, exchanges, depositories, auditors, and internal stakeholders on compliance-related matters.
• Work closely with business, operations, risk, legal, finance, and technology teams to ensure effective implementation of regulatory requirements.

What You'll Gain

• Exposure to SEBI, NSE, BSE, NSDL & CDSL regulations
• Hands-on experience in regulatory reporting and compliance monitoring
• Opportunity to work on audits, inspections, governance, and policy implementation
• Learn from experienced compliance professionals in a dynamic capital markets environment
• Excellent career growth in the financial services industry

Mandatory Requirement

Primary Job Profile : Finance & Accounts/ Finance Control

Technical Skills : Financial reporting, MIS

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