A compliance officer ensures that an organization adheres to legal, regulatory and ethical standards.
They develop policies, conduct audits, and provide training to minimize risks and maintain compliance with laws and industry regulations.
Key Responsibilities:
- Regulatory Compliance (NSE, BSE, MCX, SEBI, NSDL, NSIX,IFSC)
- Policy Development and Implementation
- Risk Management and Auditing
- Training and Communication
- Reporting and Documentation
- Liaison with Regulatory Bodies
Qualifications and Skills:
- Bachelor's degree in law, business, finance, or a related field
- Knowledge of regulatory frameworks relevant to the stock broking industry
- Excellent communication and interpersonal skills
Education:
Experience:
- Compliance: 5 years (Preferred)
Work Location: In person
