Compliance Officer
1 week ago
Qualification & Experience:•Graduate & above, MBA/CS (preferred). •Must have Broking / DP Compliance experience. •Minimum 4-5 years of work experience with Stock Broking & DP entity. •NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program.Roles & Responsibilities: •Ensuring & implementing compliances under SEBI (Stockbrokers) Regulations, SEBI (Research Analysts) Regulations, SEBI (Depositories and Participants) Regulations, SEBI (Prohibition of Insider Trading) Regulations, 2015, all other applicable laws & circulars, notification, rules issued thereunder. •Ensuring compliance of Wealth Distribution, RA, DP, Broking, Distribution and all other products that is offered by the company. •Liaising with exchange, depositories & Auditors for all matters. •Ensuring periodic & instance based operational reporting/filing relating to Exchange, Depository, FATCA/CRS etc. •Review & updating of all applicable policies, forms, documents in line with exchange & DP guidelines. •Onboarding of broking/DP clients in line KYC, KRA, CKYC guidelines. •Handling concurrent, internal/systems/cyber security audits etc. and inspections by Exchange, SEBI, CDSL etc. •Drafting, Vetting & executing various commercial/ business contracts and agreements •Handling investor grievance. •Interacting with the Board of Directors as needed. •Any other compliance matters assigned from time to time. •Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects.
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Compliance Officer
1 week ago
New Delhi, India QX Global Group Full timeThis role profile is a blend of both the job description and person specification and clearly demonstrates the relationship between specific tasks and personal attributes. It is not exhaustive but is intended to give an overview of the role which will naturally change from time to time in line with business requirements. Job Description:Maintenance...
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Compliance Officer
4 weeks ago
New Delhi, India Intellectual Capital HR Consulting Pvt. Ltd. Full timeJob Title:Manager - AIF Cat III & Fund Management Entity (FME) / Compliance Officer Location:GIFT City, Gujarat Reporting to:Group CFO Key Responsibilities: 2. Compliance & Regulatory Reporting Ensure ongoing compliance with SEBI AIF Regulations, IFSCA (Fund Management) Regulations, Companies Act, FEMA, and other applicable GIFT City guidelines. File...
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Compliance Officer
3 weeks ago
New Delhi, India SKS Enterpprises - Human Resource Planning and Management Full timePosition Name -Compliance Officer Location -Mumbai Experience Range -5 to 8 years Job Roles and Responsibilities: The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s). The position requires strong regulatory understanding,...
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Compliance Officer
4 days ago
New Delhi, India SKS Enterpprises - Human Resource Planning and Management Full timePosition Name - Compliance Officer-AIFLocation - Gift City, GandhinagarExperience Range - 5-8 yrsMandatory Requirement:- Ensure end-to-end compliance with IFSC regulations, corporate laws, and other regulatory frameworksJob Roles and Responsibilities:- Ensure full compliance with all regulatory requirements under SEBI and/or IFSCA jurisdictions. - Supervise...
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Sr Compliance officer
1 week ago
New Delhi, India IMS People Possible Full timeJob Title:Compliance Officer / Senior Compliance Officer Location:Makarba, Ahmedabad.Shift Timings: 12:30 PM – 10:00 PM IST 1:30 PM – 11:00 PM IST (During Daylight Saving Time) About the Role: We are looking for a detail-oriented and proactiveCompliance Officer / Senior Compliance Officerto join our compliance team. The role involves managing and...
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Compliance Officer
6 hours ago
New Delhi, India PlusWealth Capital Management LLP Full timeAbout 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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Sr Compliance officer
2 days ago
New Delhi, India IMS People Possible Full timeJob Title:Compliance Officer / Senior Compliance OfficerLocation:Makarba, Ahmedabad.Shift Timings: 12:30 PM – 10:00 PM IST 1:30 PM – 11:00 PM IST (During Daylight Saving Time) About the Role: We are looking for a detail-oriented and proactiveCompliance Officer / Senior Compliance Officerto join our compliance team. The role involves managing and ensuring...
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Back Office
4 weeks ago
New Delhi, India PlusWealth Capital Management LLP Full timePlusWealth 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,...
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Compliance & Assurance Officer
4 weeks ago
New Delhi, India IndusInd Bank Full timeAbout the Role:- We are looking for a motivated Compliance & Assurance Officer with 5–6 years of experience in regulatory compliance, preferably within the banking, NBFC, or insurance sectors. The candidate will support the Business unit Compliance team in implementing regulatory requirements, conducting risk assessments, and maintaining internal policies...
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Compliance Officer
5 days ago
New Delhi, India Google Full timeMinimum qualifications: - Master’s degree in Accountancy, Law, Technology, or equivalent practical experience. - 10 years of experience building and leading compliance/risk management programs. - 3 years of experience in a leadership role. Preferred qualifications: - Compliance leadership experience in a regulatory, compliance, or legal role. -...
