Compliance Specialist

4 weeks ago

India Booming Bulls Finserv Full time

Job Title: Compliance Officer

Department: Compliance & Legal

Location: [Remote]

Reporting To: CEO / Principal Officer / Board of Directors

Type: Full-time

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Job Summary

We are seeking a detail-oriented and knowledgeable Compliance Officer to oversee and ensure our firm's compliance with SEBI regulations applicable to Research Analysts (RA). The ideal candidate will have a strong understanding of SEBI regulations, ethical standards, and internal compliance practices. This role is critical for maintaining regulatory standards and minimizing compliance risk in a SEBI-registered Research Analyst firm.

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Key Responsibilities:


• Ensure compliance with SEBI (Research Analysts) Regulations, 2014 and other relevant circulars and guidelines.


• Maintain and update internal policies, compliance manuals, and standard operating procedures in line with SEBI regulations.


• Monitor day-to-day activities and ensure that the firm and its research analysts operate within regulatory boundaries.


• Maintain logs and records of communications, disclosures, recommendations, and reports as required under SEBI norms.


• Review and approve research reports and ensure necessary disclosures are included before publication.


• Handle periodic filings, reporting, and correspondence with SEBI (including annual compliance reports, KYC updates, etc.).


• Conduct regular internal audits and compliance checks to assess and strengthen compliance practices.


• Ensure that all employees and associates are trained on compliance policies, ethical standards, and changes in regulation.


• Maintain Chinese Wall procedures to prevent conflicts of interest and ensure data integrity.


• Serve as the point of contact for SEBI inspections and audits, and coordinate responses to regulatory queries.


• Stay updated with SEBI amendments, market conduct rules, and other regulatory changes affecting the firm.

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Qualifications and Skills:


• Bachelor's degree (mandatory); preferably with a background in Law, Commerce, Finance, or a related field.


• Compliance Officer with at least 2–5 years of experience in a similar role in a SEBI-registered RA firm or with SEBI registered Individual


• Strong knowledge of SEBI regulations, especially those related to Research Analysts.


• Excellent communication, analytical, and organizational skills.


• High ethical standards, integrity, and attention to detail.


• Proficient in MS Office and familiarity with compliance monitoring tools.

Work Conditions:


• Based WFH with occasional travel for audits, training, or regulatory meetings (if required).

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