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Compliance Officer
2 weeks ago
**Job ID**: Compliance Officer
**Role**: Compliance Officer
**Department**: Compliance and Legal
**Location**: Andheri East, Mumbai, Maharashtra
**Designation**: Manager - AVP
**Reporting structure for the position**: Managing Director
**No of Position Vacant**: 1
- Ensuring compliance with all rules & regulations framed by regulatory authorities like Exchanges, SEBI, CDSL, PFRDA, IRDA ad MCA, AMFI.
- Maintaining the Compliance Calendar, in accordance with regulatory requirements and adhere to the deadlines prescribed for each activity
- Redressing the grievances of clients in a timely manner
- Handling arbitration related matters
- Registering / deregistering Authorized Person and Sub Broker with Exchanges/SEBI and adhere to necessary compliance related matters thereto. Base capital deposit release process.
- Handling Statutory / Regulatory Inspections / Audits
- Application / Renewal of Registrations / Approvals for various business activities
- Provide training for Anti Money Laundering Standards to all Staff members. Reporting suspicious transactions to FIU.
- Ensuring compliance with the Code of Conduct for Prevention of Insider Trading
- Answering any compliance related queries raised by functional / operations departments
- Reporting to the Board of Directors/Managing Director if the company / any staff member has breached compliance requirements
- Co-ordinating for and attending to legal matters, as and when required. Vetting of documents.
- Attending to queries/letters/communication from external agencies (other than Exchanges) like EOW, ACB, etc.
**Preferred Skills**:
- Sound knowledge & working experience of compliance regulations
- Good analytical ability to take calculated risks & decisions
- Integrity
- Energetic & Initiative taking attitude
- Resilient & stress tolerant
- Adaptable to change
- Detail conscious
- Persuasive & good negotiation skills
- Presentable, with good listening, oral and written communication skills
**Education**: Bachelor's degree
**Exp. Required in Years**: 1- 5 years of relevant experience in stock broking/fintech company
**Compensation**: Will be discussed during interviews
**Hiring process/round of interviews**: Behavioural & technical interviews
**Expected Notice Period**: 30 days
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