Job description
Role & Responsibilities
· Develop, implement, and manage the company's Regulatory compliance requirements.
· Monitor and analyze trading activities for any irregularities or compliance.
· Conduct regular audits and risk assessments.
· Implementation of all regulatory changes
· Provide compliance training and support to employees.
· Stay updated with regulatory changes and ensure company policies are updated accordingly.
· Prepare and submit compliance reports to regulatory bodies.
· Collaborate with internal and external stakeholders to address compliance issues.
· Ensuring SEBI compliances for Broking, Research Analyst, PMS, Depository Participant.
· Co-ordinate with Exchanges, Depositories, SEBI for various inspections and responding to queries.
· Co-ordinate with Internal auditors, system auditors and various other audits.
Qualifications:
Education:
- Graduate in Commerce, Finance, or related fields or candidates with compliance experience
- Additional certifications such as NISM Series IIIA (Compliance Officer Module) or NISM Series VII (Securities Operations & Risk Management) are desirable.
Experience:
- 3-5 years of relevant experience in compliance within Institutional Equities or a broking/investment firm.
- Experience dealing with SEBI, NSE, BSE, and understanding of institutional investor categories (FPIs, Mutual Funds, AIFs, and PMS).
Skills & Competencies:
- Strong knowledge of SEBI regulations, equity market structure, and institutional trading norms.
- Sound skill of drafting regulatory correspondence and other documents of business, compliances etc.
- Excellent communication skills – ability to interact effectively with trading desks, senior management, and regulators.
- Proficiency in Excel, Word, and exposure to trading and surveillance systems.
Pay: ₹20,000.00 - ₹40,000.00 per month
Work Location: In person
