15h Left Compliance Officer

3 weeks ago


India Booming Bulls Finserv Full time
Job Description

Job Title:Compliance Officer SEBI Registered Research Analyst (Remote)

Company Overview:

We are a SEBI-registered Research Analyst firm delivering high-quality equity and market research to our clients across India. Our commitment to transparency, ethics, and compliance forms the foundation of our work.

Position Overview:

We are seeking an experiencedCompliance Officerwho has previously worked with aSEBI-registered Research Analyst (RA)entity. The ideal candidate will ensure that our operations and research outputs strictly adhere to SEBIs Research Analyst Regulations, 2014, and related guidelines.

Key Responsibilities:

- Oversee and ensure compliance with SEBI (Research Analysts) Regulations, 2014.
- Maintain updated compliance checklists, registers, and records as required by SEBI.
- Review and approve all research reports and investor communications before release.
- Liaise with SEBI, auditors, and other regulatory bodies as required.
- Conduct periodic internal audits to ensure adherence to applicable laws and guidelines.
- Train and guide internal teams on compliance policies and regulatory updates.
- Monitor and implement SEBI circulars, amendments, and notifications promptly.

Required Qualifications & Skills:

- Mandatory:Prior experience working as a Compliance Officer or in a compliance role for aSEBI-registered Research Analyst firm.
- In-depth understanding of SEBI regulations related to Research Analysts.
- Strong communication, documentation, and analytical skills.
- Ability to work independently in a remote environment.

Employment Type:Full-time, Remote

Compensation:Competitive based on experience and qualifications.
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