Compliance Officer
4 days ago
Job Description
Job Title: Compliance Officer
Location: Bangalore
Experience: 2-4 years
Qualification: Bachelor's or Master's in Law, Commerce, or Finance preferred; CS, CA (Inter), or NISM certifications preferred
Work Schedule: Not specified
We're hiring a Compliance Officer for MintCap, a fintech company revolutionizing finance for traders with an AI and data-driven platform. Our team is composed of seasoned leaders with experience scaling tech businesses from diverse industries. We're looking for a detail-oriented and experienced
Compliance Manager or Compliance Analyst to ensure full compliance with regulatory requirements.
As the Compliance Officer, your responsibilities would be:
- Working with the social media and marketing team to review advertisements and content for regulatory compliance.
- Monitoring and reporting suspicious transactions under Anti-Money Laundering (AML) guidelines.
- Ensuring day-to-day compliance with SEBI,exchange, and depository guidelines for stockbrokers and depository participants.
- Handling internal and external audits and regulatory inspections.
- Conducting surveillance monitoring and reporting.
- Filing periodic reports with regulatory authorities in a timely and accurate manner.
Requirements
Experience: 2-4 years of experience working independently in a compliance function at a stockbroking or financial services firm. Prior experience with fintech, new-age stockbrokers, or discount brokers is a plus.
Skills: Strong knowledge of SEBI, NSE, BSE, and CDSL regulations is a must. Excellent analytical, communication, record-keeping, and problem-solving skills are required.
Qualifications: A Bachelor's or Master's degree in Law, Commerce, or Finance is preferred. CS, CA (Inter), or NISM certifications (Series VI, Series X-A/X-B, or Series V-A) are also preferred.
Benefits
Career Growth: Opportunities to take on new responsibilities and advance your career as the company grows.
Flexibility: Work in a flexible environment with options for remote work and a focus on work-life balance.
Impact: You'll see the direct impact of your work on our products, services, and overall success.
Innovation: The chance to work on exciting, cutting-edge projects in a fast-evolving industry.
Team Spirit: A supportive and inclusive culture where collaboration and creativity thrive.
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