
15h Left Compliance Officer
3 weeks ago
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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