Compliance Officer
4 days ago
Job Description: Compliance OfficerPosition OverviewWe are seeking an experienced and detail-oriented Compliance Officer to manage and oversee all regulatory, legal, and compliance matters in our business. The Compliance Officer will ensure adherence to SEBI, NSE, BSE, CDSL/NSDL, and other statutory requirements while building a strong internal compliance culture.Key Responsibilities- Ensure compliance with SEBI, Exchanges (NSE, BSE, MCX, etc.), and Depositories (CDSL/NSDL) regulations.- Draft, review, and implement internal compliance policies and procedures in line with regulatory updates.- Monitor day-to-day operational activities to identify potential regulatory risks.- File periodic reports, returns, and disclosures to SEBI, exchanges, and depositories on time.- Conduct regular audits, inspections, and reviews of KYC, client onboarding, risk management, surveillance, and trading operations.- Assist in regulatory inspections, audits, and inquiries by SEBI, exchanges, or statutory bodies.- Ensure timely dissemination of regulatory circulars and guidelines to relevant teams.- Conduct compliance training sessions for employees to strengthen adherence to laws and regulations.- Maintain and update compliance manuals and records in accordance with statutory requirements.- Report compliance breaches or potential risks to senior management and recommend corrective measures.Qualifications & Requirements- Graduate in Commerce, Finance, Law, or a related field (postgraduate or professional certifications like CS, CA, or LLB preferred).- Minimum 5–7 years of experience in compliance within stock broking, capital markets, or financial services.- Strong knowledge of SEBI regulations, exchange guidelines, and depository rules.- Familiarity with Anti-Money Laundering (AML), PMLA, and KYC regulations.- Excellent communication, analytical, and problem-solving skills.- Ability to handle regulatory inspections and audits independently.Key Skills- Regulatory & Statutory Compliance- Attention to Detail- Risk Management & Internal Control- Reporting & Documentation- Stakeholder Coordination- Ethics & IntegrityReporting Structure- The Compliance Officer will report directly to the Principal Officer/CEO/Managing Director and coordinate closely with compliance teams at exchanges and regulators.Location- Ranchi - JharkhandEmployment Type- Full-time, On-site
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Compliance Officer
2 weeks ago
Ranchi, Jharkhand, India First Demat Full timeJob Description: Compliance OfficerPosition OverviewWe are seeking an experienced and detail-oriented Compliance Officer to manage and oversee all regulatory, legal, and compliance matters in our business. The Compliance Officer will ensure adherence to SEBI, NSE, BSE, CDSL/NSDL, and other statutory requirements while building a strong internal compliance...
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Compliance Officer
2 weeks ago
Ranchi, Jharkhand, India First Demat Full timeJob Description: Compliance Officer Position Overview We are seeking an experienced and detail-oriented Compliance Officer to manage and oversee all regulatory, legal, and compliance matters in our business. The Compliance Officer will ensure adherence to SEBI, NSE, BSE, CDSL/NSDL, and other statutory requirements while building a strong internal...
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Compliance Officer
2 weeks ago
Ranchi, Jharkhand, India First Demat Full timeJob Description: Compliance Officer Position Overview We are seeking an experienced and detail-oriented Compliance Officer to manage and oversee all regulatory, legal, and compliance matters in our business. The Compliance Officer will ensure adherence to SEBI, NSE, BSE, CDSL/NSDL, and other statutory requirements while building a strong internal...
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Compliance Officer
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Ranchi, Jharkhand, India First Demat Full timeJob Description: Compliance Officer Position Overview We are seeking an experienced and detail-oriented Compliance Officer to manage and oversee all regulatory, legal, and compliance matters in our business. The Compliance Officer will ensure adherence to SEBI, NSE, BSE, CDSL/NSDL, and other statutory requirements while building a strong internal...
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