Compliance Officer
2 days 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 experienced Compliance Officer who has previously worked with a SEBI-registered Research Analyst (RA) entity. The ideal candidate will ensure that our operations and research outputs strictly adhere to SEBI’s 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 a SEBI-registered Research Analyst firm.
In-depth understanding of SEBI regulations related to Research Analysts.
NISM Series-XV (Research Analyst) certification or equivalent.
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.
How to Apply:
Interested candidates may send their CV, along with details of their previous SEBI-RA experience, to (your email address) with the subject line: Application – Compliance Officer (Remote).
-
Compliance Officer
3 days ago
India Booming Bulls Finserv Full timeJob 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...
-
Compliance Officer
2 days ago
India Booming Bulls Finserv Full timeJob 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 experienced...
-
Compliance Officer
1 day ago
India Booming Bulls Finserv Full timeJob 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 experienced...
-
Officer - Compliance
1 week ago
India Sumitomo Mitsui Banking Corporation (SMBC) Full timeResponsible for handling Compliance related function of the India Branches and assist / support LCO for overall Compliance Function in the Branches. - Issue Branch Circulars for all staff members of the Branch highlighting the regulatory requirements. - Conduct various Training (classroom Training, On Line training etc) to educate the branch staff and also...
-
Legal Risk and Compliance Officer
2 days ago
India Booming Bulls Finserv Full timeJob 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. We are seeking an experienced Compliance...
-
▷ (Urgent) Compliance Officer
1 day ago
Noida, India QX Global Group Full timeJob Description As a Compliance Officer your roles and responsibilities will be as below: - Need to maintain ongoing and initial compliance. - Chase candidate for outstanding documents as per checklist - Verify and upload documents on CRM. - Minimum need to achieve KPI of 2 files compliant. Key Skills: - UK compliance healthcare background - Knowledge of...
-
IT Compliance Officer
3 days ago
Bengaluru, India Mobileum Full timeJob Description We are hiring for IT Compliance Officerat Bangalore Job Summary We are seeking a highly driven and experienced IT Compliance Officer to oversee and manage compliance across IT Infrastructure and Application domains. The ideal candidate will be responsible for tracking key performance indicators (KPIs), ensuring IT operational alignment...
-
Business Development Executive
7 days ago
Noida, India PSR COMPLIANCE Full timeJob Description Business Development Executive (Compliance & Regulatory Services) Location: Sector-2, Noida (Work from Office) Salary: 22,000 30,000 per month (based on experience) Industry: Business Consulting & Regulatory Compliance About Us At PSR Compliance, we specialize in helping businesses navigate complex regulatory frameworks. From EPR, LMPC,...
-
Compliance Officer
2 days ago
India QX Global Group Full timeRoles and Responsibilities: Initial and maintenance compliance Chasing documents, verifying, and uploading Signing off file as per client guideline Maintain contact with clients to determine staffing needs, solicit orders, and informs clients about the availability of employees. Work as a team and maintain professional working relationships with...
-
Compliance Officer
2 weeks ago
India beBeeCompliance Full time ₹ 9,00,000 - ₹ 12,00,000Our organization seeks a seasoned professional to assume the role of Compliance Officer, overseeing regulatory compliance across various domains. This position requires an individual with extensive knowledge and experience in navigating complex regulatory landscapes.The ideal candidate will possess a deep understanding of SEBI, IFSCA, and RBI regulations, as...
