Responsibilities for Compliance Officer :

- Mastermind compliance policies and protocols on behalf of the organization

- Develop and implement a compliance program to ensure the organization operates in accordance with SEBI.

- Acquiring CAT 3 Licence and involves verifying the accuracy of financial data received from various stakeholders, NAV computation, reconciliations, and other corporate finance activities.

- Determine compliance metrics and establish a system for tracking them.

- Sign off on any marketing and advertising collateral to ensure it is compliance

- Remain up to date on SEBI laws related to the organization and update policies accordingly

- Perform compliance audits to determine whether establish protocols are being followed and where they can be improved

- Maintain up to date written documentation and policies related to the organization's business activities

- Create compliance resource library for staff members to reference when they have questions

Qualifications for Compliance Officer :

- 5+ years prior experience in risk management or compliance roles

- Must have, or be willing to obtain, a compliance certification

- Superior attention to detail in order to identify and correct risky practices

- Must be a strong communicator and capable of expressing oneself clearly both speaking and in writing

- Possess a collaborative personality and be open to suggestions from team members

- Exemplify strong knowledge of industry protocols and best practices

- Excellent analytical skills and ability to accurately interpret complex documents and policies

- Strong time management and organizational skills and able to meet deadlines

- Should have a strong moral code and sense of ethics

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