Employer at KDPL
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Compliance Officer - BFS - CS/LLB (3-11 yrs)
- As the Compliance Officer, you will be responsible for ensuring that the company complies with all applicable SEBI & AMFI's laws and regulations, and industry standards related to stock broking operations, Mutual Fund Operations.
- You will also be responsible for developing and implementing compliance policies and procedures to minimize risk and ensure the smooth operation of the business.
- Develop and implement compliance policies and procedures that align with industry standards and regulatory requirements.
- Liasioning with VC Partners and Angel Investors for monthly reports, MIS and updates.
- Liasioning with Exchange and regulators for various matters.
- Monitor regulatory developments and assess the impact on the company's operations.
- Conduct regular audits and reviews of the company's compliance programs to ensure that they are effective and up-to-date.
- Collaborate with the external stakeholders to provide guidance on regulatory requirements and develop strategies for Business.
- Provide training and education to employees on compliance matters and ensure that they understand the company's compliance policies and procedures.
- Investigate and resolve compliance-related issues and concerns raised by employees, customers, or regulators.
- Maintain accurate and up-to-date records of compliance-related activities, including audits, investigations, and training.
- Coordinate and communicate with external auditors and regulatory agencies as necessary.
- Qualified Company Secretary with a degree of Law.
- At least 3-5 years of experience in compliance, preferably in the Capital Market.
- Excellent analytical and problem-solving skills.
- Strong written and verbal communication skills.
- Ability to work independently and as part of a team.
- Attention to detail and a commitment to accuracy.
- Ability to manage multiple priorities and deadlines.
- Strong interpersonal skills and the ability to work effectively with employees