Compliance Officer

2 weeks ago

Gandhinagar, India Jainam Broking Limited Full time

**Position Overview**: As a Compliance Officer at NSE IX (National Stock Exchange International Exchange) located in Gift City, Gandhinagar, your primary responsibility will be to ensure that the organization'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 organization.

3. Reporting and Documentation:

- Prepare and submit required compliance reports to regulatory authorities in a timely manner.
- Maintain accurate and organized 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 behavior 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:

- **
- 3 to 5 Years of experience in Securities Market is Preferred.

**Qualification**:

- C.S. or C.A.

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

**Salary**: ₹50,000.00 - ₹70,000.00 per month

**Benefits**:

- Health insurance
- Provident Fund

Schedule:

- Day shift

Supplemental pay types:

- Yearly bonus

Work Location: In person

  • Compliance and Principal Officer-ibu

    4 weeks ago

    Gandhinagar, India IDFC FIRST Bank Full time

    Role/ Job Title : Compliance & Principal Officer - IBU Business : Corporate Function **Function/ Department**: Compliance **Place of Work**: Gandhinagar **Job Purpose**: The role of Compliance Officer (CO) & Principal Officer (PO) at GIFT City IBU is a Designated Position and to be always held by an Approved Individual, as per IFSCA regulations. As CO...

  • Compliance Officer

    1 week ago

    gandhinagar, India A.B. Investment Managers LLP (under formation) Full time

    Compliance officer shall be responsible for:i.         compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in the regulations under the overall supervision of the designated...

  • Compliance Officer

    1 week ago

    Gandhinagar, India A.B. Investment Managers LLP (under formation) Full time

    Compliance officer shall be responsible for:       i.         compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in the regulations under the overall supervision of the...

  • Compliance Officer

    1 week ago

    Gandhinagar, India A.B. Investment Managers LLP (under formation) Full time

    Compliance officer shall be responsible for:       i.         compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in the regulations under the overall supervision of the...

  • Compliance Officer

    1 week ago

    gandhinagar, India A.B. Investment Managers LLP (under formation) Full time

    Compliance officer shall be responsible for:         i.         compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in the regulations under the overall supervision of...

  • Compliance Officer

    4 weeks ago

    Gandhinagar, India Trustmark consultants Full time

    **Location**: Infocity gandhinagar **Required**: Experience in PF,ESIC, compliance, Excel **Experience**: Min 1 year **Job Time**: 9:30 to 06 pm **Contact**:9484755166 **Salary**: ₹15,000.00 - ₹25,000.00 per month Schedule: - Day shift Supplemental pay types: - Performance bonus Ability to commute/relocate: - Gandhinagar, Gujarat: Reliably...

  • Compliance Officer, Gift City

    4 weeks ago

    Gandhinagar, India ANZ Banking Group Full time

    **Req ID**: 60606 **Department**: Risk Institutional - Asia Risk **Division**: Risk **Location**: Gandhinagar About The Role At ANZ our purpose is to shape a world where people and communities thrive. We’re making this happen by improving the financial wellbeing and sustainability of our customers so they can achieve incredible things - whether they’re...

  • ▷ (Apply in 3 Minutes) Compliance Officer - Gift City

    1 week ago

    Gandhinagar, India A.B. Investment Managers LLP (under formation) Full time

    Compliance officer shall be responsible for:i.compliance of policies, procedures, maintenance of records, monitoring adherence to the rules for the preservation of unpublished price sensitive information, monitoring of trades and the implementation of the codes specified in the regulations under the overall supervision of the designated partner.ii.Represent...

  • Compliance Office

    7 days ago

    Gandhinagar, India NJ India Invest Full time

    Job description **Primary role** - Ensure timely compliance related to PMLA and SEBI - Managing audit - Liasoning with Regulators - Handling of Board and Executive meeting Job Overview (7170) **Experience** 60 Month(s).**City** Gandhinagar.**Qualification** CS**Area of Expertise** COMPLIANCE**Prefer Gender** Male**Function** AMC - COMPLIANCE**Audio /...

  • Back Office Executive

    7 days ago

    Gandhinagar, India Trustmark consultants Full time

    Designation: - Back office executiveLocation: - kudasan, gandhinagarExperience: - fresherGraduation: - Any Location: - kudasan, gandhinagar Experience: - fresher Graduation: - Any Duties: - The back office is the portion of a company made up of administration and support personnel who are not client-facing. Back-office functions include...

  • Safety Officer

    1 week ago

    Gandhinagar, India lakshya HR solution Full time

    Duties and Responsibilities: The safety officer will be responsible for implementing and maintaining health and safety policies and procedures, conducting risk assessments, investigating accidents, providing safety training, and ensuring compliance with applicable regulation. The safety officer will be responsible for ensuring the security of the facility...

  • safety officer

    2 days ago

    Gandhinagar, India Lakshya HR solution and counseling center Full time

    diploma in industrial safety Duties and Responsibilities:The safety officer will be responsible for implementing and maintaining health and safetypolicies and procedures, conducting risk assessments, investigating accidents, providingsafety training, and ensuring compliance with applicable regulation. The safety officerwill be responsible for ensuring the...

  • safety officer

    2 days ago

    Gandhinagar, Gujarat, India Lakshya HR solution and counseling center Full time

    diploma in industrial safety Duties and Responsibilities:The safety officer will be responsible for implementing and maintaining health and safetypolicies and procedures, conducting risk assessments, investigating accidents, providingsafety training, and ensuring compliance with applicable regulation. The safety officerwill be responsible for ensuring the...

  • Accounts Officer

    4 weeks ago

    Gandhinagar, India Quantean Full time

    **As an Accounts Officer you are expected to**: 1. Responsible for end-to end student’s fee transactions for the branch. 2. Ensure collections of outstanding fee, collection from parents within the specified time. 3. Responsible for total accounts reconciliation (expenses and receipts) at the branch. 4. Responsible for all banking transactions/treasury...

  • Sales Officer

    7 days ago

    Gandhinagar, India TMI Group IN Full time

    **Job Information**: - Salary - **₹ 275000 - 400000**- No. of Openings - **100 opening**- Required Skills: - **insurance,field sales,sales,marketing,banking,retail banking,communication,business development,target driven**- Job Experience: - **1 - 5 years**- Job Qualifications - **Bachelor's Degree** OBJECTIVE: Providing support to branch profitability...

  • Accounts Executive

    1 week ago

    Gandhinagar, India Altobooks Consulting Services Pvt Ltd Full time

    **Accounts Executive - Govt. Accounts (On contract)** **Location - IFSCA, GIFT City, Gandhinagar** Work includes accounting, payroll, tax compliances, assisting officers, coordination with auditors, CAG etc. - Accounting of receipt, payments and regular bank reconciliation - Making various journal entries on regular basis - Complete management of payroll...

  • Company Secretary, 5 Years

    7 days ago

    Gandhinagar, India Mangalam Placement Full time

    **Location** Gandhinagar **Experience** 5-6 Years **Key Skills** Company Secretary, Companies Act, Compliance, agenda, Notice, Company Law, Secretarial compliance As a Company Secretary, you will ensure all the business procedures to be matching with the legal provisions. As a legal representative of the organization, you will perform and manage...

  • Exim Executive

    4 weeks ago

    Gandhinagar, India JB Enterprises Full time

    Here are some skills that an EXIM executive may need: - CommunicationStrong verbal and written communication skills, and knowledge of shipping regulations and policies - Analytical skillsHelp you make confident decisions in times of crisis - Understanding of international trade compliance requirementsComplex rules govern the import and export of goods...

  • Account Executive

    1 week ago

    Gandhinagar, India Swastik Placement Agency Full time

    **Key Responsibilities**: Financial Record Keeping: Maintain accurate and up-to-date financial records, including ledgers, journals, and invoices. Accounts Payable and Receivable: Manage accounts payable and receivable functions, process payments, issue invoices, and follow up on overdue accounts. Bank Reconciliation: Reconcile bank statements, track...

  • Administrative Executive

    4 weeks ago

    Gandhinagar, India Rayvat Outsourcing Full time

    Location: Gandhinagar, Gujarat, India Department: Administration Employment type: Permanent **Job Details**: - Provide standard clerical duties as assigned, including copying, mailing, and communicating with internal customers and external vendors/service providers. - Create written and typed reports, including memos, business letters and MIS. - Help...