Compliance Officer - Stock Broking & Capital Markets

Compliance Officer - Stock Broking & Capital Markets

Experience: 10 - 12 Years

Location: Mumbai

CTC: 20 - 30 lpa

Education: Professional qualifications such as CS, CA, LLB, CFA, MBA (Finance)

Reporting To: Management

ABOUT US:

We are a SEBI-registered stock broking firm with memberships in the Equity Cash and Equity Derivatives segments of NSE & BSE. We are looking for an experienced Compliance Officer to lead the firm's regulatory compliance function and ensure adherence to SEBI, Exchange, Depository, AML, and related regulatory requirements.

KEY RESPONSIBILITIES:

- Manage end-to-end compliance with SEBI regulations, NSE/BSE circulars, clearing corporation requirements, and depository regulations.

- Ensure timely submission of all regulatory filings, reports, disclosures, and certifications

- Act as the primary point of contact for SEBI, Exchanges, Depositories, auditors, and regulatory inspections.

- Monitor regulatory developments and implement necessary changes in policies, processes, and controls.

- Oversee AML, KYC, investor grievance, surveillance, and risk-management related compliance requirements.

- Coordinate internal, concurrent, system, and regulatory audits and ensure timely closure of observations.

- Support compliance requirements relating to Category III AIFs, including regulatory filings, investor reporting, and regulatory liaison (preferred).