Compliance Officer
2 hours ago
About UsPlusWealth 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 OverviewWe 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, Consultants3)Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, StockBroking, 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 orad-hoc basis5)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 etc6)Reviewing Email boxes of all the entities mentioned above on daily basis to ensure everyimportant communication gets addressed by the authorities7)Dealing with auditors, inspecting officials, stake holders, vendors, consultants on regular basisin 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 departmentsQualifications- 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.
-
Human Resources Officer
2 days ago
Noida, Uttar Pradesh, India PSR COMPLIANCE Full time ₹ 2,00,000 - ₹ 4,00,000 per yearCompany DescriptionPSR Compliance is a technology-driven Business Management Company providing a wide range of professional services in India. The company specializes in entity incorporation, government registrations, legal documentation, and annual compliance services. With a team of over 120 experienced professionals, PSR Compliance delivers expert support...
-
Compliance Officer
2 weeks ago
Noida, Uttar Pradesh, India Connedit Business Solutions Full time ₹ 3,00,000 - ₹ 9,00,000 per yearLooking for a Compliance Officer to handle PT, PF, ESIC, CLRA, and LWF registrations, filings, and challans. Responsible for ensuring timely statutory submissions and maintaining compliance records.
-
Compliance Officer
4 days ago
Noida, India NX Block Trades Private Limited Full timeJob Title: Compliance Officer Company: NX Block Trades Pvt Ltd Location: Noida, Uttar Pradesh **Job Overview**: NX Block Trades is actively seeking an experienced and strategic leader to fill the role of Exchanges, and other relevant authorities. **Responsibilities**: **Leadership and Strategy**: - Provide strategic leadership to the Compliance...
-
Compliance Officer
2 days ago
Noida, Uttar Pradesh, India Xpertdox Full time ₹ 2,50,000 - ₹ 7,50,000 per yearCompliance OfficerAre you meticulously organized, detail-oriented, and passionate about ensuring integrity and trust in healthcare? We're seeking a Compliance Officer who doesn't just check boxes but actively architects and enforces the policies and procedures that safeguard patient data and ensure our company operates with the highest standards of ethical...
-
Compliance Officer
1 week ago
Noida, India QX Global Group Full timeThis role profile is a blend of both the job description and person specification and clearly demonstrates the relationship between specific tasks and personal attributes. It is not exhaustive but is intended to give an overview of the role which will naturally change from time to time in line with business requirements. Job Description: Maintenance...
-
Compliance Officer
5 days ago
Noida, India QX Global Group Full timeThis role profile is a blend of both the job description and person specification and clearly demonstrates the relationship between specific tasks and personal attributes. It is not exhaustive but is intended to give an overview of the role which will naturally change from time to time in line with business requirements. Job Description: Maintenance...
-
Compliance Officer
5 days ago
Noida, India QX Global Group Full timeThis role profile is a blend of both the job description and person specification and clearly demonstrates the relationship between specific tasks and personal attributes. It is not exhaustive but is intended to give an overview of the role which will naturally change from time to time in line with business requirements. Job Description: Maintenance...
-
Compliance Officer
1 day ago
Noida, India PlusWealth Capital Management LLP Full timeAbout 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...
-
Compliance Officer
1 day ago
Noida, India PlusWealth Capital Management LLP Full timeAbout 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...
-
Compliance Officer
2 days ago
Noida, India PlusWealth Capital Management LLP Full timeAbout 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...
