Compliance Officer

3 weeks ago

Delhi, Delhi, India Alankit Full time

Job Title: Compliance Officer - Stock Broking.

Function: Regulatory Compliance & Risk.

Location: Delhi.

Experience required: 8-12 years.

Preferred Background: Stock Broking / Financial Services / Banking Compliance.

Educational Qualification: MBA/PGDM, LLB, CA/ICWA (with specialisation in securities law, financial regulations, or corporate governance).

Note - Candidates must be based in Delhi or open to relocating in order to apply.

Position Overview:

- We are seeking a seasoned Compliance Officer to oversee the full spectrum of compliance functions for our stock broking business.

- This role will be responsible for ensuring the organisation's strict adherence to all applicable laws, regulations, and internal policies, as mandated by SEBI, NSE, BSE, CDSL, and other statutory authorities.

- The ideal candidate should have strong experience in compliance frameworks, audit management, risk mitigation, and regulatory communication.

Key Responsibilities:

Regulatory Compliance.:

- Ensure the firm remains fully compliant with SEBI, NSE, BSE, NCDEX, MCX, NSDL, CDSL, and other relevant regulatory guidelines.

- Monitor and interpret regulatory changes and ensure timely implementation of required updates.

- Prepare and submit periodic compliance reports, regulatory filings, and returns as mandated.

Internal Controls & Audits:

- Conduct daily/weekly/monthly transaction surveillance and compliance checks.

- Implement internal audits and manage external inspections by SEBI, stock exchanges, and statutory auditors.

- Identify compliance gaps and coordinate with departments for timely resolution and documentation.

- Insider Trading & Employee Trading Policy.

- Draft, implement, and monitor the Code of Conduct for Insider Trading and the Employee Trading Policy (PAD).

- Act as the Internal Compliance Officer for insider trading regulations, including coordination with the control room.

- Organise periodic training and awareness programs for employees on insider trading norms and KYC/AML policies.

(ref:iimjobs.com)

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