Compliance Officer

3 days ago

Vadodara, India Tipsons Group Full time

We are looking for a detail-oriented and proactive Compliance Officer to ensure adherence to regulatory frameworks and internal policies across our organisation. Key Responsibilities: - Ensure full compliance with SEBI guidelines, circulars, and requirements applicable to market intermediaries. - Monitor updates and changes in relevant laws, regulations, and the regulatory environment, and initiate timely corrective actions. - Conduct periodic reviews and audits related to trading membership compliance, including Exchange compliances, SEBI compliances, and Companies Act requirements. - Maintain accurate documentation and regulatory records, ensuring timely filings and submissions. - Assist in organizing and managing Board Meetings and General Meetings, including preparation of agenda papers, notices, and recording minutes. - Liaise with regulators, stock exchanges, internal departments, and external consultants when required. Desired Candidate Profile: - Strong understanding of securities market regulations and corporate laws. - Experience in compliance within Broking / Wealth / Financial Services industry preferred. - Excellent communication, analytical and documentation skills.

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