About the Role-

The Compliance Officer shall be responsible for ensuring that the Online Bond Platform operates in full compliance with applicable laws, regulations, circulars, bye-laws, directions, and regulatory expectations issued by Securities and Exchange Board of India, recognized Stock Exchanges,

Depositories, Clearing Corporations, FIU-IND, and other regulatory authorities.

The role requires proactive monitoring of regulatory compliance, implementation on of robust internal controls, management of regulatory risks, oversight of investor grievance mechanisms, regulatory reporting, inspections on preparedness, and fostering a strong compliance culture across the organization.

Key Responsibilities:

1. Robust knowledge and ensure compliance with:

- SEBI (Stock Brokers) Regulations, 2026

- Depositories Act, 1996

- Regulatory framework for Online Bond Platform Providers (OBPPs)

- SEBI circulars, Master circulars, Guidelines, and Advisories

- NSE & BSE Circulars, rules, and regulations

- Prevention of Money Laundering Act (PMLA)

- Investor protection and grievance redressal frameworks

2. Coordination & Communication:

- Coordinate with auditors, regulators, exchanges, depositories, and regulatory authorities during inspections, and audits.

- Ensure timely submission of periodic reports to the regulator/ regulatory authorities.

- Responding to regulatory queries, audit observations, and internal reviews.

- To discuss impact analysis of applicable regulatory framework with the management, prepare and implement compliance calendar etc.

3. Draft, Review & Implementation:

- Draft , review, and interpret compliance notes, internal advisories, policies, and regulatory communications.

- Ensure timely update on of regulatory changes and advise relevant teams regarding implementation requirements.

- Identify regulatory gaps and recommend corrective and preventive actions.

-Support implementation and monitoring of internal compliance policies, SOPs, and regulatory controls.

- Present periodic compliance reports to senior management and the Board.

4. Educational Qualification:

Candidate should possess any of the following qualifications:

- Chartered Accountant (CA)

- Company Secretary (CS)

- MBA/PGDM in Finance

- Equivalent professional qualification with expertise in Compliance or Securities markets.

5. Experience

Minimum 6-10 years of relevant experience in:

- Stock broking

- Capital markets

- Regulatory advisory

- Risk and governance

- Prior experience as Compliance Officer / Regulatory Head will be an added advantage.

6. Certifications

Preferred certifications include:

- NISM Series IIIA, VI, VII certifications.

- AML/KYC certifications

7. Key Skills & Competencies

- Well versed with MS office tools (Excel and Word).

- Regulatory interpretation and drafting skills

- Excellent analytical and risk assessment capabilities

- Strong documentation and reporting skills

- High ethical standards and integrity

- Ability to independently highlight regulatory concerns

- Strong stakeholder management and communication skills