Compliance Officer

3 days ago

Mumbai Maharashtra, India Olives Suppliers and Marketers Full time

Job Title: Compliance Officer

**Job Description**:

- **Resolving New Queries**: Efficiently address and resolve any new compliance-related queries that arise.
- **Follow-up on Pending Queries**: Monitor and follow up on pending compliance queries to ensure timely updates and resolutions.
- **Dispute Resolution**: Collaborate with advocates to consult on disputes and take necessary legal action as required.
- **Trading and Settlement Facilitation**: Ensure the seamless and efficient trading and settlement of securities.
- **Regulatory Compliance**: Maintain compliance with all SEBI, BSE, NSE, F&O, NCDEX, MCX, and MCX-SE regulations.
- **Audit Management**: Oversee and manage compliance audits from various exchanges to ensure adherence to all regulatory requirements.
- **Compliance Reporting**: Prepare and submit regular compliance reports to relevant authorities and internal stakeholders.
- **Policy Implementation**: Assist in the development and implementation of internal compliance policies and procedures.
- **Risk Assessment**: Conduct regular risk assessments to identify potential compliance issues and recommend corrective actions.
- **Training and Development**: Provide training to staff on compliance-related matters to ensure ongoing adherence to regulatory requirements.

Criteria:

- **Experience**: A minimum of 3 to 10 years of relevant experience in stock broking compliance.
- **Knowledge**: In-depth understanding of SEBI, BSE, NSE, F&O, NCDEX, MCX, and MCX-SE regulations.
- **Skills**: Strong analytical skills, attention to detail, and the ability to interpret complex regulatory requirements.
- **Communication**: Excellent written and verbal communication skills to effectively interact with internal teams, regulators, and legal representatives.
- **Problem-Solving**: Proven ability to resolve complex compliance issues and disputes.

Compensation:

- **Salary Range**: ₹50,000 to ₹1,00,000 per month, commensurate with experience and qualifications.

**Job Types**: Full-time, Permanent

Pay: ₹489,705.46 - ₹1,318,663.21 per year

**Benefits**:

- Cell phone reimbursement
- Health insurance
- Provident Fund

Schedule:

- Day shift
- Morning shift

Application Question(s):

- Current CTC and Expected CTC?
- Notice Period?

**Experience**:

- total work: 3 years (required)

Work Location: In person

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