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Compliance Assurance Specialist

2 weeks ago

Navi Mumbai, Maharashtra, India ICICIDirect Full time

Job Profile:

We are looking for a Stock Broking Compliance Officer who can ensure that our business operations are in compliance with regulatory requirements. The ideal candidate will have strong analytical skills and the ability to assess changes in regulations.

Key Responsibilities:

  1. Compliance Audits: Conduct regular audits to identify potential compliance risks and ensure adherence to regulatory requirements.
  2. Risk Assessment: Perform thorough risk assessments to identify areas of improvement and develop strategies to mitigate compliance risks.
  3. Documentation: Maintain accurate and comprehensive records of compliance activities, audit findings, and corrective actions taken.
  4. Reporting: Prepare detailed reports on audit findings, compliance status, and recommendations for senior management.
  5. Investigations: Conduct investigations into compliance breaches or potential violations and provide recommendations for remedial action.
  6. Collaboration: Work closely with other departments to support compliance initiatives and ensure alignment with organizational goals.

Requirements:

  • Strong organizational, communication, and problem-solving skills.
  • Proficiency in compliance management software and tools.
  • Attention to detail and high level of accuracy in reviewing documentation and assessing compliance.
  • Demonstrated integrity and ability to handle sensitive information with confidentiality.
  • Ability to work independently and as part of a team.
  • 1-2 years of experience in stock broking compliance.
  • In-depth understanding of relevant regulations, industry standards, and compliance frameworks.
  • Masters' degree or equivalent qualification.
  • Certifications in Capital Market/Audit will be an added advantage.