Compliance Officer
3 weeks ago
Company Overview:
We are a SEBI-registered Research Analyst firm delivering high-quality equity and market research to our clients across India. Our commitment to transparency, ethics, and compliance forms the foundation of our work.
Position Overview:
We are seeking an experienced Compliance Officer who has previously worked with a SEBI-registered Research Analyst (RA) entity. The ideal candidate will ensure that our operations and research outputs strictly adhere to SEBI’s Research Analyst Regulations, 2014, and related guidelines.
Key Responsibilities:
Oversee and ensure compliance with SEBI (Research Analysts) Regulations, 2014.
Maintain updated compliance checklists, registers, and records as required by SEBI.
Review and approve all research reports and investor communications before release.
Liaise with SEBI, auditors, and other regulatory bodies as required.
Conduct periodic internal audits to ensure adherence to applicable laws and guidelines.
Train and guide internal teams on compliance policies and regulatory updates.
Monitor and implement SEBI circulars, amendments, and notifications promptly.
Required Qualifications & Skills:
Mandatory: Prior experience working as a Compliance Officer or in a compliance role for a SEBI-registered Research Analyst firm.
In-depth understanding of SEBI regulations related to Research Analysts.
NISM Series-XV (Research Analyst) certification or equivalent.
Strong communication, documentation, and analytical skills.
Ability to work independently in a remote environment.
Employment Type: Full-time, Remote
Compensation: Competitive – based on experience and qualifications.
How to Apply:
Interested candidates may send their CV, along with details of their previous SEBI-RA experience, to (your email address) with the subject line: Application – Compliance Officer (Remote).
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