Compliance Officer
Industry: Stock Broking / Trading / Financial Services
Experience: Minimum 3 years
Qualification: Company Secretary (CS) with relevant experience
Employment Type: Full-time
Job Summary:
We are looking for an experienced Compliance Officer with a Company Secretary background and a minimum of 3 years of relevant experience in the stock broking/trading industry. The candidate should have a strong understanding of the regulatory and legal compliance requirements applicable to trading and broking companies and should be capable of independently managing and monitoring the organisation's compliance obligations.
Key Responsibilities:
- Ensure compliance with all applicable regulatory, statutory and legal requirements relevant to the stock broking and trading industry.
- Monitor and ensure compliance with regulations and guidelines issued by SEBI, Stock Exchanges, Depositories and other applicable regulatory authorities.
- Prepare, review and submit periodic compliance reports, returns and filings within prescribed timelines.
- Keep track of regulatory changes and ensure timely implementation of new compliance requirements within the organisation.
- Maintain and update compliance policies, procedures and internal controls.
- Coordinate with internal teams to ensure that operational activities comply with applicable laws, regulations and company policies.
- Conduct periodic compliance reviews and identify potential gaps or areas of risk.
- Support internal and external audits and ensure timely closure of compliance-related observations.
- Maintain proper records, registers and documentation required under applicable laws and regulations.
- Liaise with regulatory authorities, auditors, legal advisors and other external stakeholders when required.
- Provide compliance-related guidance to management and internal teams.
- Assist in the preparation and implementation of governance and compliance frameworks.
- Handle any other legal, secretarial and compliance matters relevant to the organisation.
Required Skills & Qualifications:
- Company Secretary (CS) background is mandatory.
- Minimum 3 years of experience in compliance within a stock broking, trading, securities or financial services organisation.
- Strong knowledge of the regulatory framework governing the stock broking and securities market.
- Good understanding of SEBI regulations, stock exchange compliance requirements and other applicable statutory regulations.
- Ability to independently manage compliance calendars, filings and regulatory deadlines.
- Strong knowledge of legal and regulatory documentation.
- Excellent attention to detail and ability to identify compliance risks.
- Strong communication and stakeholder management skills.
- Ability to work independently and handle confidential and sensitive information.
Pay: ₹45,000.00 - ₹60,000.00 per month
Benefits:
- Health insurance
- Paid sick time
- Paid time off
- Provident Fund
Work Location: In person
