Compliance Officer

Responsibilities:

- Work closely with the social media/marketing team to review advertisements and social media content from a regulatory perspective, file applications with exchanges for approvals, and follow up for advertisement approvals (MUST).

- Monitor and report suspicious transactions under Anti-Money Laundering (AML) guidelines.

- Ensure day-to-day compliance with SEBI regulations, circulars, and exchange/depository guidelines applicable to stock brokers, depository participants, research analysts/investment advisers, and mutual fund distributors.

- Conduct surveillance monitoring and reporting, including file uploads and continuous tracking.

- Ensure timely and accurate filing/submission of periodic reports with regulatory authorities.

- Handle internal and external audits, as well as regulatory inspections.

- Perform other compliance responsibilities as may be assigned from time to time.