Principal Compliance Officer
23 hours ago
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.
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Principal Compliance Officer
6 days ago
Gandhinagar, Gujarat, India PlusWealth Capital Management LLP Full time ₹ 12,00,000 - ₹ 36,00,000 per yearAbout 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...
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Compliance Officer
4 weeks ago
Gandhinagar, Gujarat, India Nuvama Group Full timeSummary:The Compliance Officer is a key managerial role responsible for ensuring the Fund Management Entity (FME) operates in full compliance with the IFSCA Fund Management, Capital Market Intermediaries Regulations, SEBI FPI regulations and other applicable laws and guidelines.The Compliance Officer oversees the implementation of regulatory and compliance...
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Compliance Officer
4 weeks ago
Gandhinagar, Gujarat, India Nuvama Group Full timeSummary: The Compliance Officer is a key managerial role responsible for ensuring the Fund Management Entity (FME) operates in full compliance with the IFSCA Fund Management, Capital Market Intermediaries Regulations, SEBI FPI regulations and other applicable laws and guidelines. The Compliance Officer oversees the implementation of regulatory and compliance...
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Compliance Officer
5 hours ago
Gandhinagar, Gujarat, India Swastik Placement Agency Full time ₹ 7,80,000 per yearJob 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...
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Principal Officer
23 hours ago
Ahmedabad, Gujarat, India, Gujarat Equirus Full timeWe are looking for a Principal Officer for our Asset Management Business at Gift City, Ahmedabad.Qualification: CA / CS / CMA / CFA / FRM certification from respective institutes. OR Post-graduate degree or post-graduate diploma in Finance, Law, Accountancy, Business Management, Commerce, Economics, Capital Market, Banking, Insurance, or Actuarial Science...
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Compliance Officer
4 weeks ago
Gandhinagar, Gujarat, India Deutsche Bank Full timeJob DescriptionCompliance OfficerPosition OverviewBusiness Division: ComplianceFunctional Title:Compliance OfficerCorporate Title: Assistant Vice PresidentJob Posting Title:Compliance OfficerLocation: IFSC Banking Unit (IBU), Gift City, Gandhinagar, GujaratSummary:The role has a broad range of responsibilities across an array of compliance (including...
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Principal Officer
3 weeks ago
Gandhinagar, Gujarat, India SKS Enterpprises - Human Resource Planning and Management Full timePosition Name - Principal Officer Location - Gift City-Gandhinagar Experience Range - 5+ years Mandatory Requirement: 5+ years of experience in Alternate Investment Fund regulations CS or CA or MBA Should be equipped to do research under SEBI AIF Regulations, FEMA, regulations Job Roles and Responsibilities Lead compliance for all provisions of the...
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Principal Officer
6 days ago
Gandhinagar, Gujarat, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 15,00,000 - ₹ 25,00,000 per yearPosition Name - Principal OfficerLocation - Gift City-GandhinagarExperience Range - 5+ yearsMandatory Requirement:5+ years of experience in Alternate Investment Fund regulationsCS or CA or MBAShould be equipped to do research under SEBI AIF Regulations, FEMA, regulationsJob Roles and ResponsibilitiesLead compliance for all provisions of the SEBI Act, AIF...
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Compliance Officer
23 hours ago
Gandhinagar, Gujarat, India, Gujarat A.P. Moller - Maersk Full timeA.P. Moller - Maersk is an integrated container logistics company working to connect and simplify its customers’ supply chains. As the global leader in shipping services, the company operates in 130 countries and employs roughly 76,000 people.With simple end-to-end offering of products and digital services, seamless customer engagement and a superior...
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Compliance Officer
4 weeks ago
Gandhinagar, Gujarat, India InCred Capital Full timeEntity name: InCred Alternative Investments Private LimitedJob Title: Compliance Officer for FMELocation: GIFT City, Gandhinagar, GJ.Department: ComplianceJob Summary: The Compliance Officer will be responsible for ensuring adherence to regulatoryrequirements, internal policies, and compliance frameworks. The role involves monitoring andevaluating internal...
