Compliance Officer

1 week ago

Gandhinagar, Gujarat, India Rao Career Solutions Full time

Job Description - Compliance Officer

Overview:


To ensure the firm's compliance with all IFSCA, SEBI, RBI (FINRA and SEC exposure will be an added advantage) rules and regulations by providing necessary advice, training and risk assessment pertaining to all of the firm's broker/dealer, ATS and exchange activities.

The position is responsible for implementing all required policies and procedures regarding all business activities done at a firm level with respect to global investing from the IFSCA region.


Compliance officer plays a very crucial role in ensuring all functional units are duly guided during the development life cycle of the new product along with regular maintenance of the product on the platform.

The unit also plays a very important role in managing the compliance requirements as per new regulatory guidelines from RBI, SEBI, IFSCA, etc.

and ensuring implementation of the same in various different products offered on the company's product services.

Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm & compliance control environment.


Should have experience with:

  • Private Markets, helpful if experienced in various fund Regulation
  • Equities
  • Fixed Income
  • Alternative Trading Systems/ Exchanges
  • Knowledge of securities rules and regulations covering operating procedures and customer protection.
  • Working knowledge of securities registration and membership requirements for IFSCA member firms.

Responsibilities:

  • Develop and maintain all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls, including client onboarding, KYC, AML, CIP, BCP, insider and personal account handling, disclosures.
  • Perform all daily, weekly, monthly and quarterly compliance reviews (including transaction reviews).
  • Develop and implement necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firm's activities to remain in compliance with all aspects of industry standards (i.e. from sales practices to trading activity).
  • Implement and maintain the mandated Anti-Money Laundering program covering the Broker/Dealer activities.
  • Provide Compliance approval of all new accounts regarding "Know Your Customer" and the firm's Customer Identification Procedures.
  • Provide advice and training to the firm's management and employees regarding applicable securities rules, regulations and firm policies.
  • Demonstrate excellent communication skills, both oral and written. Should have the ability and experience to draft clear and professional correspondence, policies and procedures and other documents. Must be able to correspond with all regulators and auditors.
  • Work as liaison to the firm's management and legal counsel to ensure appropriate support if needed for any and all litigation, arbitration, reparation proceedings and all other regulatory, criminal and civil matters revolving around the firm's Broker/Dealer activities.
  • Develop implement and monitor supervisory policies and procedures relating to sales, trading, operations, custody and placement of applicable securities
  • Oversee trade related compliance activities, including the reporting for fixedincome and equity securities, attend best execution committee meetings, and raise compliance concerns to the Management Committee
  • Supervision of Back Office Operations (including client onboarding, trading, placement)
  • Advise business/support units on IFSCA/ Exchange regulations, rules and standards, including keeping them informed of the developments in this area

Requirements:

  • Bachelor's degree in Law (LLB) from a recognized Indian university.
  • Minimum of 812 years' experience in securities compliance and/or legal experience in securities compliance, emphasis on sales and sales trading, institutional, retail, fixedincome, options and hedge fund activities
  • Fluent with all current IFSCA/ SEBI issues and concerns
  • Working knowledge of IFSCA, SEBI and Exchange rules and regulations
  • Strong knowledge of Indian laws and regulatory framework
  • Ability to work independently and handle multiple tasks simultaneously in a fastpaced environment.
  • Strong teamwork and collaboration skills.

Besides skills we are looking:

  • Startup and Entrepreneurial mindset.
  • Execution oriented.
  • Ability to think big.
  • Collaborative mindset.

What does the company bring to the table:

  • Opportunity to do what your current firm may be hesitant to do.
  • An informal and selfmanaged work culture.
  • Freedom to experiment with new ideas and technologies.
  • A highly motivating work environment where you learn exponentially and grow with the organization.
  • An opportunity to create an impact at scale.

Location:
GIFT CITY, Gandhinagar

Required Experie

  • Compliance Officer

    1 week ago

    Gandhinagar, Gujarat, India RestAlgo Tech pvt ltd Full time

    HelloAll,We are hiring for Compliance Officer in given location.Role: Compliance OfficerExperience Required 12 yearsLocation-AhmedabadKnowledge and Skill Required:- *Compliance Officer as required by a share broker, as specified by SEBISalary: From ₹20,000.00 per monthSchedule: Day shiftExperience:- total work: 5 years (preferred)

  • Compliance Officer

    1 week ago

    Gandhinagar, Gujarat, India PPFAS Mutual Fund Full time

    PPFAS Asset Management (PPFAS AMC) has been promoted by Parag Parikh Financial Advisory Services Pvt. Ltd. (PPFAS Ltd.), a boutique investment advisory firm incorporated in 1992. PPFAS Ltd. is also amongst India's earliest SEBI Registered Portfolio Management Service (PMS) providers. Ensure compliance with SEBI AIF regulations and spearhead compliance and...

  • Compliance Office

    1 week ago

    Gandhinagar, Gujarat, India NJ India Invest Full time

    Job descriptionPrimary role Ensure timely compliance related to PMLA and SEBI Managing audit Liasoning with Regulators Handling of Board and Executive meetingJob Overview (7170)Experience60 Month(s).CityGandhinagar.QualificationCSArea of ExpertiseCOMPLIANCEPrefer GenderMaleFunctionAMC - COMPLIANCEAudio / Video ProfileNA

  • Admin Officer

    1 week ago

    Gandhinagar, Gujarat, India Mantras2Success consultants Full time

    Opening: 1 Nos.Job ID: 63258Employment Type: Full TimeReference:Work Experience: 2.0 Year(s) To 4.0 Year(s)CTC Salary: 2.40 LPA TO 3.00 LPAFunction: HR / Administration / IRIndustry: Pharma/Biotech/Clinical ResearchQualification: Any - Any GraduationLocation: Gandhinagar**The Administrative Officer plays a vital role in providing administrative support and...

  • safety officer

    3 weeks ago

    Gandhinagar, Gujarat, India Lakshya HR solution and counseling center Full time

    diploma in industrial safety Duties and Responsibilities:The safety officer will be responsible for implementing and maintaining health and safetypolicies and procedures, conducting risk assessments, investigating accidents, providingsafety training, and ensuring compliance with applicable regulation. The safety officerwill be responsible for ensuring the...

  • safety officer

    1 month ago

    Gandhinagar, Gujarat, India Lakshya HR solution and counseling center Full time

    diploma in industrial safety Duties and Responsibilities:The safety officer will be responsible for implementing and maintaining health and safetypolicies and procedures, conducting risk assessments, investigating accidents, providingsafety training, and ensuring compliance with applicable regulation. The safety officerwill be responsible for ensuring the...

  • Sales Officer

    1 week ago

    Gandhinagar, Gujarat, India TMI Group IN Full time

    Job Information: Salary₹ - No. of Openings100 opening- Required Skills:insurance,field sales,sales,marketing,banking,retail banking,communication,business development,target driven- Job Experience:5 yearsJob QualificationsBachelor's DegreeOBJECTIVE: Providing support to branch profitability by selling bank product - CASA through different acquisition...

  • Chief Technology Officer/Director

    1 week ago

    Gandhinagar, Gujarat, India Rao Career Solutions Pvt Ltd. Full time

    Responsibilities:- Build and Lead team of exceptional developers with a passion for innovation, full stack solutions, and financial services. You will be responsible for designing, building, improving, and maintaining our products and systems supporting global brokerage, payments, wealth management, account management, billing, onboarding, content, and...

  • Chief Technology Officer/Director

    4 weeks ago

    Gandhinagar, Gujarat, India Rao Career Solutions Pvt Ltd. Full time

    Responsibilities:- Build and Lead team of exceptional developers with a passion for innovation, full stack solutions, and financial services. - You will be responsible for designing, building, improving, and maintaining our products and systems supporting global brokerage, payments, wealth management, account management, billing, onboarding, content, and...

  • Chief Technology Officer/Director

    3 weeks ago

    Gandhinagar, Gujarat, India Rao Career Solutions Pvt Ltd. Full time

    Responsibilities:- Build and Lead team of exceptional developers with a passion for innovation, full stack solutions, and financial services. - You will be responsible for designing, building, improving, and maintaining our products and systems supporting global brokerage, payments, wealth management, account management, billing, onboarding, content, and...

  • Admin & Facility Manager

    1 week ago

    Gandhinagar, Gujarat, India GEDU Services Full time

    Job Title: Admin & Facility ManagerLocation: Gandhinagar (Gujarat)Position Overview:We are seeking a highly skilled and experienced Admin & Facility Manager to oversee the operational efficiency and administrative functions of our office facilities. The ideal candidate will possess strategic foresight, hands-on expertise, and a proven track record in...

  • Company Secretary, 10 to 15 years in Gandhinagar

    1 week ago

    Gandhinagar, Gujarat, India Mangalam Placement Pvt Ltd. Full time

    Position: Company SecretaryQualifications: CSExperience: 10 to 15 yearsLocation: GandhinagarDesignation: CSOJob descriptionQualified Company Secretary with 10-15 years of post-qualification experienceMost recent experience as a Company Secretary / Compliance Officer in India with experience Capital Markets / BFSI SectorExcellent communication and...

  • Guest Service Supervisor

    1 week ago

    Gandhinagar, Gujarat, India IHCL Full time

    Job Responsibilities Time Office operations and generating various reports Payroll Administration HRMS Administration Conducting quarterly Employee Satisfaction Surveys and E.S.S. Preparing an Action Plan for E.S.T.S. and E.S.S. and monitor compliance H.R. Monthly Reports as per Corporate Standards. Preparing Annual and Monthly Training Calendar in...

  • Company Secretary, 10 to 15 years in Gandhinagar

    1 week ago

    Gandhinagar, Gujarat, India Mangalam Placement Pvt Ltd. Full time

    Position: Company SecretaryQualifications:CSExperience: 10 to 15 yearsLocation: GandhinagarDesignation:CSOJob description Qualified Company Secretary with 1015 years of postqualification experience Most recent experience as a Company Secretary / Compliance Officer in India with experience Capital Markets / BFSI Sector Excellent communication and articulation...

  • Company Secretary, 5 Years

    1 week ago

    Gandhinagar, Gujarat, India Mangalam Placement Full time

    LocationGandhinagarExperience5-6 YearsKey SkillsCompany Secretary, Companies Act, Compliance, agenda, Notice, Company Law, Secretarial complianceAs a Company Secretary, you will ensure all the business procedures to be matching with the legal provisions. As a legal representative of the organization, you will perform and manage various regulatory functions...

  • Head of Finance and Accounting

    1 week ago

    Gandhinagar, Gujarat, India TIGI HR ® Full time

    Designation: National Head- Finance and BankingLocation: Gandhinagar, GujaratEligibility: Chartered Accountant (CA)Experience: At least a decade of professional experience, including 5 years leading the Finance/Accounts division of a manufacturing enterprise with Annual turnover exceeding ₹ 100 crores.Roles & Responsibilities:Taking on a pivotal leadership...

  • Head of Finance and Accounting

    1 week ago

    Gandhinagar, Gujarat, India TIGI HR ® Full time

    Designation : Head- Finance and Banking Location : Gandhinagar, Gujarat Eligibility : Chartered Accountant (CA) Experience : At least a decade of professional experience, including 5 years leading the Finance/Accounts division of a manufacturing enterprise with Annual turnover exceeding ₹ 100 crores. Roles & Responsibilities: - Taking on a pivotal...

  • Company Secretary

    1 week ago

    Gandhinagar, Gujarat, India RK Group Full time

    Career:Even thought we have been operating for the past 40 years, Innovation is the name of the game at the RK Group. We always try to shake things up and seek to build a more diverse, adaptable & high performing team.COMPANY SECRETARY:About RK GroupAs a Company Secretary, you will ensure all the business procedures to be matching with the legal provisions....

  • Manager - Outbound Sales - Insurance - GIFT city

    1 week ago

    Gandhinagar, Gujarat, India Ace Consultants Full time

    Roles and ResponsibilitiesResponsible for distributing leads, setting weekly and monthly sales targets, training new telesales staff, designing and implementing sales strategies, monitoring the performance of the sales team, and handling escalated customer complaints if neededMeeting with marketing and product teams to discuss telesales strategies.Training...

  • Account and Finance

    1 week ago

    Gandhinagar, Gujarat, India Sahajanand Laser Technology Full time

    Designation: Jr. Account ExecutiveLocation: GandhinagarExperience: 0 - 3 YearsJOB DESCRIPTION:Roles and Responsibilities Responsible for accounting of all Direct & Indirect expenses Responsible for TDS & service tax deduction. Responsible for Preparing service tax + TDS details in TDS software Responsible for reconciliation of creditors for expense Ledger...