Assistant Compliance Officer

4 weeks ago

Mumbai, Maharashtra, India MANSI SHARE AND STOCK ADVISORS PRIVATE LIMITED Full time

We are seeking a detail-oriented and highly motivated Junior Compliance Officer to join our compliance team at Mansi Shares, a fast-growing share market and stock broking firm. The ideal candidate will support day-to-day compliance activities and help ensure adherence to SEBI regulations and internal company policies.

Responsibilities

  • Monitor and ensure compliance with all SEBI and stock exchange regulations (NSE, BSE, MCX, etc.)
  • Assist in the preparation and submission of regulatory reports and filings.
  • Support the KYC/AML verification process and ongoing customer due diligence.
  • Help in monitoring trading activities and flagging any suspicious transactions.
  • Maintain and update compliance documentation and internal policies.
  • Assist with internal audits, inspections, and risk assessments.
  • Coordinate with various departments to ensure compliance awareness.
  • Respond to compliance-related inquiries and support regulatory inspections.
  • Keep abreast of regulatory changes and update the compliance team accordingly.

Qualifications

  • Bachelor's degree in Commerce, Law or related field. (Master's degree or relevant certification is a plus)

0–2 years of experience in compliance, preferably in a broking or financial services firm.

  • Knowledge of SEBI regulations, AML guidelines, and KYC norms.
  • Familiarity with stock market operations and trading platforms.
  • Strong analytical and problem-solving skills.
  • High attention to detail and organizational skills.
  • Proficiency in MS Office (Excel, Word, PowerPoint).
  • Strong communication and documentation abilities.

Preferred Qualifications

  • NISM-Series Certifications (e.g., NISM Series)
  • Certificate in Compliance / Risk Management

To Apply:

Please send your resume to mansishareshr@gmail.com

with the subject line: Application for Junior Compliance Officer – [Your Name]

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