Tip Sons - Compliance Officer - Financial Services/Securities Industry

Responsibilities:

SEBI Compliance:

- Ensure strict compliance with all SEBI guidelines and regulations.

- Monitor and interpret changes in relevant legislation and the regulatory environment, proactively implementing necessary adjustments.

- Conduct thorough reviews to guarantee legal compliance of trading membership, encompassing exchange, SEBI, and Companies Act regulations.

Regulatory Monitoring and Action:

- Stay abreast of evolving regulatory landscapes and implement necessary changes to internal policies and procedures.

- Proactively identify potential compliance risks and recommend mitigation strategies.

Periodic Reviews and Audits:

- Conduct regular internal audits and reviews to assess the effectiveness of compliance programs.

- Prepare and present compliance reports to senior management.

Board and General Meeting Support:

- Assist the team in organizing and preparing agendas for board meetings and general meetings.

- Accurately record and maintain minutes of meetings.

Documentation and Reporting:

- Maintain accurate and up-to-date compliance records and documentation.

- Prepare and submit regulatory reports as required.

Qualifications:

- Bachelor's or Master's degree in Law, Finance, Business Administration, or a related field.

- Proven experience in a compliance role within the financial services/securities industry.

- Strong understanding of SEBI guidelines, Companies Act, and other relevant regulations.

- Excellent analytical and problem-solving skills.

- Strong communication and interpersonal skills.

- Ability to work independently and as part of a team. -

- Meticulous attention to detail and strong organizational skills.