Compliance Officer

6 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 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

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