Compliance Officer Dp

6 months ago

Mumbai Maharashtra, India SVCM Securities Private Limited Full time

As a Compliance Officer at NSE, BSE, MCX & CDSL your primary responsibility will be to ensure that the organisation’s operations and activities adhere to regulatory standards, industry guidelines, and internal policies. You will play a critical role in maintaining the integrity of the exchange and upholding a culture of compliance.

**Key Responsibilities**:
1. Regulatory Compliance:

- Monitor and interpret relevant laws, regulations, and guidelines applicable to financial markets, securities trading, and exchange operations.
- Develop, implement, and update compliance policies, procedures, and controls in alignment with regulatory requirements.
- Ensure that the exchange's operations and activities are conducted in accordance with applicable laws and regulations.

2. Internal Compliance:

- Collaborate with various departments to assess and manage compliance risks associated with new products, services, and initiatives.
- Conduct regular audits and assessments to identify compliance gaps and recommend corrective actions.
- Provide guidance and training to employees on compliance matters, promoting a strong compliance culture throughout the organisation.

3. Reporting and Documentation:

- Prepare and submit required compliance reports to regulatory authorities in a timely manner.
- Maintain accurate and organised documentation of compliance activities, issues, and resolutions.

4. Monitoring and Surveillance:

- Implement surveillance programs to monitor trading activities and detect potential market abuse, fraud, or suspicious activities.
- Investigate and report any instances of non-compliance or suspicious behaviour to the relevant authorities as necessary.

5. External Relationships:

- Liaise with regulatory authorities, industry bodies, and external advisors to stay informed about emerging compliance trends and best practices.
- Represent the exchange in regulatory discussions, meetings, and forums as required.

6. Risk Management:

- Assist in the development and execution of risk assessment processes to identify and mitigate compliance risks.
- Provide recommendations to senior management for enhancing risk management strategies.

7. Ethics and Conduct:

- Promote and uphold high ethical standards and conduct among employees, ensuring that they adhere to the organization's code of conduct.

**Experience:

- **
- 1 year of experience in Securities Market is Preferred.

**Qualification**:

- B com or any graduation degree

**Job Types**: Permanent, Full-time

Schedule:

- Day shift

Supplemental pay types:

- Yearly bonus

Location : Borivali West

**Job Types**: Full-time, Permanent

Pay: From ₹300,000.00 per year

**Benefits**:

- Flexible schedule

Schedule:

- Day shift
- Evening shift

Supplemental pay types:

- Performance bonus

Ability to commute/relocate:

- Mumbai, Mumbai Suburban - 400092, Maharashtra: Reliably commute or planning to relocate before starting work (required)

**Experience**:

- total work: 1 year (required)

License/Certification:

- NISM SERIES IIIA Compliance (required)

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