Compliance Officer

2 months ago

Gandhinagar, India Rao Career Solutions Full time

**Job Description - Compliance Officer**

**Overview**:
To ensure the firm's compliance with all IFSCA, SEBI, RBI (FINRA and SEC exposure will be an added advantage) rules and regulations by providing necessary advice, training and risk assessment pertaining to all of the firm’s broker/dealer, ATS and exchange activities. The position is responsible for implementing all required policies and procedures regarding all business activities done at a firm level with respect to global investing from the IFSCA region.

Compliance officer plays a very crucial role in ensuring all functional units are duly guided during the development life cycle of the new product along with regular maintenance of the product on the platform. The unit also plays a very important role in managing the compliance requirements as per new regulatory guidelines from RBI, SEBI, IFSCA, etc. and ensuring implementation of the same in various different products offered on the company's product services. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm & compliance control environment.

Should have experience with:

- Private Markets, helpful if experienced in various fund Regulation
- Equities
- Fixed Income
- Alternative Trading Systems/ Exchanges
- Knowledge of securities rules and regulations covering operating procedures and customer protection.
- Working knowledge of securities registration and membership requirements for IFSCA member firms.

**Responsibilities**:

- Develop and maintain all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls, including client onboarding, KYC, AML, CIP, BCP, insider and personal account handling, disclosures.
- Perform all daily, weekly, monthly and quarterly compliance reviews (including transaction reviews).
- Develop and implement necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firm's activities to remain in compliance with all aspects of industry standards (i.e. from sales practices to trading activity).
- Implement and maintain the mandated Anti-Money Laundering program covering the Broker/Dealer activities.
- Provide Compliance approval of all new accounts regarding “Know Your Customer” and the firm’s Customer Identification Procedures.
- Provide advice and training to the firm's management and employees regarding applicable securities rules, regulations and firm policies.
- Demonstrate excellent communication skills, both oral and written. Should have the ability and experience to draft clear and professional correspondence, policies and procedures and other documents. Must be able to correspond with all regulators and auditors.
- Work as liaison to the firm's management and legal counsel to ensure appropriate support if needed for any and all litigation, arbitration, reparation proceedings and all other regulatory, criminal and civil matters revolving around the firm's Broker/Dealer activities.
- Develop implement and monitor supervisory policies and procedures relating to sales, trading, operations, custody and placement of applicable securities
- Oversee trade related compliance activities, including the reporting for fixed-income and equity securities, attend best execution committee meetings, and raise compliance concerns to the Management Committee
- Supervision of Back Office Operations (including client onboarding, trading, placement)
- Advise business/support units on IFSCA/ Exchange regulations, rules and standards, including keeping them informed of the developments in this area

**Requirements**:

- Bachelor's degree in Law (LLB) from a recognized Indian university.
- Minimum of 8-12 years’ experience in securities compliance and/or legal experience in securities compliance, emphasis on sales and sales trading, institutional, retail, fixed-income, options and hedge fund activities
- Fluent with all current IFSCA/ SEBI issues and concerns
- Working knowledge of IFSCA, SEBI and Exchange rules and regulations
- Strong knowledge of Indian laws and regulatory framework
- Ability to work independently and handle multiple tasks simultaneously in a fast-paced environment.
- Strong teamwork and collaboration skills.

**Besides skills we are looking**:

- Startup and Entrepreneurial mindset.
- Execution oriented.
- Ability to think big.
- Collaborative mindset.

**What does the company bring to the table**:

- Opportunity to do what your current firm may be hesitant to do.
- An informal and self-managed work culture.
- Freedom to experiment with new ideas and technologies.
- A highly motivating work environment where you learn exponentially and grow with the organization.
- An opportunity to create an impact at scale.

Location: GIFT CITY, Gandhinagar

Required Experie

  • Compliance Officer

    2 months ago

    Gandhinagar, India RestAlgo Tech pvt ltd Full time

    HelloAll, We are hiring for Compliance Officer in given location. Role: - Compliance Officer Experience Required - 1-2 years Location-Ahmedabad Knowledge and Skill Required: - *Compliance Officer as required by a share broker, as specified by SEBI **Salary**: From ₹20,000.00 per month Schedule: - Day shift **Experience**: - total work: 5 years...

  • Compliance Officer

    2 months 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...

  • Compliance Officer

    1 week ago

    Gandhinagar, India Kaapro Management Solutions Full time

    Opening: 1 Nos.- Job ID: 70965- Employment Type: Full Time- Reference: - Work Experience: 8.0 Year(s) To 12.0 Year(s)- CTC Salary: 8.00 LPA TO 15.00 LPA- Function: Legal & Regulatory / Company Secretary- Industry: Banking/Financial Services- Location: - Gandhinagar Posted On: 02nd Nov, 2023 **Responsibilities**: - Develop and maintain all relevant...

  • Compliance and Principal Officer-ibu

    2 months 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

    3 days 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

    2 days 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...

  • Compliance Officer

    4 days ago

    Gandhinagar, India PPFAS Mutual Fund Full time

    PPFAS Asset Management (PPFAS AMC) has been promoted by Parag Parikh Financial Advisory Services Pvt. Ltd. (PPFAS Ltd.), a boutique investment advisory firm incorporated in 1992. PPFAS Ltd. is also amongst India's earliest SEBI Registered Portfolio Management Service (PMS) providers.. - Ensure compliance with SEBI AIF regulations and spearhead compliance and...

  • Compliance Officer

    5 days ago

    Gandhinagar, India Alphabet Investment Full time

    We at Alphabet Investment, are looking for a dedicated individual. The ideal individual must be able to interact with clients and possess knowledge of the financial markets. The individual must be excited to work with a Wealth Management firm while always keeping the needs of the client first. 1. Maintain Client Confidentiality 2. Making and receiving...

  • Compliance Office

    2 weeks 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 (7174) **Experience** 60 Month(s).**City** Gandhinagar.**Qualification** CS**Area of Expertise** COMPLIANCE**Prefer Gender** Male**Function** AMC - COMPLIANCE**Audio /...

  • Compliance Office

    1 week 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 /...

  • Company Secretary

    2 months ago

    Gandhinagar, India BFSI Full time

    1. Attending Corporate/Company Secretarial including for debt-listed securities. namely, Handled all Corporate Law and Secretarial related matters including HoldingMeetings, Drafting of Agendas, Notices and Minutes of the Board and Annual / Extraordinary General Meeting. 2.Well versed with all the provisions of the Companies Act and allied...

  • Admin Officer

    2 weeks ago

    Gandhinagar, India Mantras2Success consultants Full time

    Opening: 1 Nos. Job ID: 63258 Employment Type: Full Time Reference: Work Experience: 2.0 Year(s) To 4.0 Year(s) CTC Salary: 2.40 LPA TO 3.00 LPA Function: HR / Administration / IR Industry: Pharma/Biotech/Clinical Research Qualification: Any - Any Graduation **Location**: - Gandhinagar **The Administrative Officer plays a vital role in providing...

  • 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

    4 weeks 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

    1 week 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...

  • safety officer

    1 month 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...

  • Back Office Executive

    1 week 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...

  • Environment Officer

    1 week ago

    Gandhinagar, India Kaapro Management Solutions Full time

    Opening: 1 Nos.- Job ID: 69354- Employment Type: Full Time- Reference: - Work Experience: 0 To 1.0 Year(s)- CTC Salary: 5.40 LPA TO 6.00 LPA- Function: Production / Quality / Maintenance- Industry: Steel/Metal/Iron/Non-ferrous- Qualification: M.Sc / MS Science - Environmental science- Location: - Gandhinagar Posted On: 05th Oct, 2023 **The duties and...

  • Back Office Operations Executive

    2 weeks ago

    Gandhinagar, India ABANS ALTERNATIVE FUND MANAGERS LLP Full time

    1. **Trade Settlement**: Processing and settling trades executed by the front office. This involves confirming trade details, ensuring compliance with regulations, and facilitating the transfer of securities and funds. 2. **Record Keeping**: Maintaining accurate records of trades, transactions, and client accounts. This includes updating databases,...

  • Office Administrator

    4 weeks ago

    Gandhinagar, India Akuntha Projects Private Limited Full time

    Interns can apply. **Eligibility Criteria** - Bachelor’s degree - knowledge of MS office suite required - Excellent verbal and written communication skills. - Excellent organizational skills and attention to detail. - Accounting knowledge preferred (ERP9/Tally) **Key responsibilities** - Directs office activities and functions to maintain efficiency and...