Compliance Officer

4 weeks ago

Jaipur, India Navjeevan Full time

We are seeking a driven and successful Equity Compliance Officer to head our Jaipur Compliance team. The individual would be responsible for maintaining the compliance of the company and being up-to-date to the changes implemented by the Exchange and SEBI from time to time.

Responsibilities for Compliance Officer

  • Mastermind compliance policies and protocols on behalf of the organization
  • Develop and implement a compliance program to ensure the organization operates in accordance with state and federal laws
  • Determine compliance metrics and establish a system for tracking them
  • Sign off on any marketing and advertising collateral to ensure it is in compliance
  • Remain up to date on regulations created by SEBI, NSE, and BSE related to the organization and update policies accordingly
  • Perform compliance audits to determine whether established protocols are being followed and where they can be improved
  • Maintain up to date written documentation and policies related to the organization's business activities
  • Create a compliance resource library for staff members to reference when they have questions

Qualifications for Compliance Officer

  • 2+ years prior experience in risk management or compliance roles
  • Must have, or be willing to obtain a compliance certification
  • Superior attention to detail in order to identify and correct risky practices
  • Must be a strong communicator and capable of expressing oneself clearly both speaking and in writing
  • Possess a collaborative personality and be open to suggestions from team members
  • Exemplify strong knowledge of industry protocols and best practices
  • Excellent analytical skills and ability to accurately interpret complex documents and policies
  • Strong time management and organizational skills and able to meet deadlines
  • Should have a strong moral code and sense of ethics

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