Principal Compliance Officer

4 weeks ago

Gandhinagar, India PlusWealth Capital Management LLP Full time

About Us

PlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based trading algorithms. As a dynamic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our vision, we’d love to have you onboard.

Role Overview

We are seeking a detail-oriented and proactive Principal Compliance Officer to join our regulatory team. This role is central to ensuring the firm remains fully compliant with SEBI and exchange-related regulations while adapting swiftly to the evolving landscape of financial compliance. You will work closely with the leadership, legal, trading, and operations teams to build a culture of integrity and operational discipline.

Responsibilities -

1)Handling Compliance activities w.R.T Stockbroking and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3)

2)Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendor, Consultants

3)Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock

Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA,Custodian, Fund Accountant, Tax Consultant and Auditors and Investors (Compliance Calendar of Stock Exchanges can be referred to for detailed tasks alongside monthly compliance calendars issued by consultant for AIF)

4)Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations of the organization conducted by SEBI, IFSCA, Exchanges, Depositories etc scheduled on regular or

ad-hoc basis

5)Handling Ad hoc queries from the Regulators (SEBI / IFSCA / GIFT Authority), Investigation /

Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division of the organization etc

6)Reviewing Email boxes of all the entities mentioned above on daily basis to ensure every

important communication gets addressed by the authorities

7)Dealing with auditors, inspecting officials, stake holders, vendors, consultants on regular basis

in addition to the above roles and responsibilities, the person will also overlooking / supervising /performing daily tasks as mentioned in attached tasks list of Compliance and DP departments

Qualifications

  • Bachelor's degree in finance, Business Administration, or related field.
  • 4+ years of experience in compliance within Stock broking or finance Organisation.
  • Strong understanding of regulatory requirements and exchange circulars.
  • Proficiency with financial and compliance software.
  • Excellent attention to detail and organizational skills.
  • Strong analytical and problem-solving abilities.
  • Effective communication skills, both written and verbal.
  • Ability to manage multiple tasks and prioritize effectively.

Good to have

  • Certification in Compliance or a related field.
  • Experience with CDSL, CAPEX, NSE, and BSE systems.
  • NISM Certificate Series 7 (SORM) or Series 8 (Equity Derivatives)
  • Knowledge of Stock market and basic IT terms
  • Knowledge of IT processes related to compliance and DP operations.

  • Principal Compliance Officer

    4 weeks ago

    Gandhinagar, India PlusWealth Capital Management LLP Full time

    About UsPlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based trading algorithms. As a dynamic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our...

  • Principal Compliance Officer

    1 week ago

    Gandhinagar, Gujarat, India PlusWealth Capital Management LLP Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    About UsPlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based trading algorithms. As a dynamic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our...

  • Compliance Officer

    3 weeks ago

    Gandhinagar, India Bruc Bond Full time

    Company description:Bharat FinOps IFSC Pvt. Ptd. is an aspiring global financial services firm with presence in the Gift City in Gujarat, India. The entity is able to leverage the expertise of Policies, Brand, Expertise and Clientele from other related on-going financial services entities head-quartered in Singapore. We facilitate the opening of bank...

  • Compliance Officer

    2 weeks ago

    Gandhinagar, India Bruc Bond Full time

    Company description: Bharat FinOps IFSC Pvt. Ptd. is an aspiring global financial services firm with presence in the Gift City in Gujarat, India. The entity is able to leverage the expertise of Policies, Brand, Expertise and Clientele from other related on-going financial services entities head-quartered in Singapore. We facilitate the opening of bank...

  • Compliance Officer

    3 days ago

    Gandhinagar, Gujarat, India Swastik Placement Agency Full time ₹ 7,80,000 per year

    Job Title: Compliance Officer LocaƟon: GIFT City, Gandhinagar (Gujarat) Timings: 9:00 AM – 6:00 PM (Onsite role) About Us We are a proprietary trading firm based in GIFT City, Gandhinagar. As a regulated enƟty under IFSCA, we operate with no external clients and focus exclusively on proprietary trading. We are looking for a Compliance Officer to ensure...

  • Principal Officer

    1 day ago

    Gandhinagar, Gujarat, India Ohm Dovetail Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Role Overview:The Principal Officer will be responsible for the overall management, operations, and regulatory compliance. The role involves leading fund management oversight, ensuring adherence to risk and compliance frameworks, and maintaining governance standards as per IFSCA regulations.Key Responsibilities:Oversee all operational, fund management,...

  • Compliance Officer

    2 weeks ago

    Gandhinagar, GJ, IN Fiducrest Full time

    Role Summary The Compliance Officer will support the Principal Officer in ensuring that the Fund Management Entity operates in full compliance with all applicable laws regulations and internal policies This role focuses on day-to-day compliance operations regulatory reporting and maintaining adherence to GIFT City and IFSCA guidelines while supporting the...

  • Principal Compliance Officer

    4 weeks ago

    Gandhinagar, Gujarat, India, Gujarat PlusWealth Capital Management LLP Full time

    About Us PlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based trading algorithms. As a dynamic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our...

  • Compliance Officer

    1 week ago

    Ahmedabad, Gandhinagar, India Upman Placements Full time ₹ 8,00,000 - ₹ 12,00,000 per year

    Role Compliance OfficerLocation GIFT City, GujaratExperience 3 to 10 yrsEducation: CS/CA/CMA/ Bachelor of Laws (LLB)Key Responsibilities:Ensure adherence to relevant laws, regulations, and industry standards applicableThe focus is to act as an oversight to the compliance and operations and to ensure that the activities align and implemented on time as per...

  • Principal Officer

    1 day ago

    Gandhinagar, Gujarat, India Dovetail Capital Private Limited Full time ₹ 15,00,000 - ₹ 30,00,000 per year

    Role Overview:The Principal Officer will be responsible for the overall management, operations, and regulatorycompliance. The role involves leading fund management oversight, ensuring adherence to risk andcompliance frameworks and maintaining governance standards as per IFSCA regulations.Key Responsibilities:• Oversee all operational, fund management,...