Legal Risk and Compliance Officer

2 days ago


India Booming Bulls Finserv Full time
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.

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.

Oversee and ensure compliance with SEBI (Research Analysts) Regulations, 2014.
Maintain updated compliance checklists, registers, and records as required by SEBI.
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.
Prior experience working as a Compliance Officer or in a compliance role for a SEBI-registered Research Analyst firm.
Ability to work independently in a remote environment.
Employment Type: Full-time, Remote
Compensation: Competitive – based on experience and qualifications.

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).

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