Compliance Officer - Merchant Banking

Designation - Compliance Officer at Ahmedabad

Qualification : Company Secretary

Detailed JD : We are seeking a dedicated and detail-oriented Compliance Officer to join our team. The ideal candidate will play a crucial role in ensuring that our operations adhere to all relevant regulatory requirements, particularly those outlined by SEBI.

The Compliance Officer will be responsible for implementing and monitoring policies and procedures to safeguard the company's integrity and reputation.

Key Responsibilities :

1. SEBI Compliance :

- Stay abreast of SEBI guidelines and regulations relevant to merchant banking operations.

- Design and implement policies and procedures to ensure compliance with SEBI requirements.

- Conduct regular internal audits to assess compliance levels and address any identified issues.

2. Policy Development:

- Identify potential areas of compliance vulnerability and risk.

- Develop and implement risk mitigation strategies.

- Develop and update compliance policies. Communicate changes in regulations and policies to relevant stakeholders within the organization.

3. Training and Awareness:

- Conduct training sessions for employees to enhance awareness of compliance requirements.

- Provide ongoing support and guidance to ensure a culture of compliance across the organization.

4. Reporting:

- Prepare and submit regular reports to senior management and regulatory bodies as required.

- Ensure accurate and timely reporting of compliance activities.

Qualifications:

- Completed Company Secretary (CS) qualification.

- Proven experience as a Compliance Officer in the financial industry, preferably in merchant banking of minimum 2 years.

- In-depth knowledge of SEBI regulations and guidelines.

- Strong analytical and problem-solving skills.

- Excellent communication and interpersonal abilities.

- Ability to work collaboratively in a fast-paced environment.

About the company - Merchant Banking