Principal Compliance Officer

1 week ago

bangalore, India PlusWealth Capital Management LLP Full time

About Us PlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based trading algorithms. As a dynamic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our vision, we’d love to have you onboard. Role Overview We are seeking a detail-oriented and proactive Principal Compliance Officer to join our regulatory team. This role is central to ensuring the firm remains fully compliant with SEBI and exchange-related regulations while adapting swiftly to the evolving landscape of financial compliance. You will work closely with the leadership, legal, trading, and operations teams to build a culture of integrity and operational discipline. Responsibilities - 1) Handling Compliance activities w.r.t Stockbroking and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3) 2) Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendor, Consultants 3) Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA,Custodian, Fund Accountant, Tax Consultant and Auditors and Investors (Compliance Calendar of Stock Exchanges can be referred to for detailed tasks alongside monthly compliance calendars issued by consultant for AIF) 4) Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations of the organization conducted by SEBI, IFSCA, Exchanges, Depositories etc scheduled on regular or ad-hoc basis 5) Handling Ad hoc queries from the Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division of the organization etc 6) Reviewing Email boxes of all the entities mentioned above on daily basis to ensure every important communication gets addressed by the authorities 7) Dealing with auditors, inspecting officials, stake holders, vendors, consultants on regular basis in addition to the above roles and responsibilities, the person will also overlooking / supervising /performing daily tasks as mentioned in attached tasks list of Compliance and DP departments Qualifications Bachelor's degree in finance, Business Administration, or related field. 4+ years of experience in compliance within Stock broking or finance Organisation. Strong understanding of regulatory requirements and exchange circulars. Proficiency with financial and compliance software. Excellent attention to detail and organizational skills. Strong analytical and problem-solving abilities. Effective communication skills, both written and verbal. Ability to manage multiple tasks and prioritize effectively. Good to have Certification in Compliance or a related field. Experience with CDSL, CAPEX, NSE, and BSE systems. NISM Certificate Series 7 (SORM) or Series 8 (Equity Derivatives) Knowledge of Stock market and basic IT terms Knowledge of IT processes related to compliance and DP operations.

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