Compliance Officer

Opportunity to work with a leading stock broking firm in **Mumbai, Andheri East**.

**Experience Required**:

- **5+ years of experience as a Compliance Officer in a stock broking firm or financial services company. (Mandatory to have experience in Stock Broking business)**
- Proven track record of managing regulatory compliance and dealing with SEBI inspections.
- Hands-on experience in developing compliance frameworks and policies.

**Key Responsibilities**:
1. **Regulatory Compliance**:

- Ensure full compliance with **SEBI regulations**, **stock exchange rules**, and other applicable laws governing the stock broking business.
- Regularly monitor and review changes in SEBI guidelines and circulars, and implement necessary updates in processes and policies.

2. **Internal Audits and Inspections**:

- Conduct periodic compliance audits of all business processes, systems, and client dealings.
- Prepare for SEBI, stock exchange, and internal/external audits by ensuring documentation and processes are audit-ready.
- Address audit findings and ensure timely resolution of compliance gaps.

3. **Reporting and Filings**:

- Prepare and submit regulatory filings, including returns, disclosures, and reports, to SEBI, exchanges (NSE/BSE), and other regulatory bodies.
- Ensure accuracy and timeliness in reporting requirements, including quarterly compliance reports and investor grievance redressal data.

4. **Policy Development and Implementation**:

- Develop, review, and update compliance policies, manuals, and operating procedures in line with SEBI regulations.
- Implement and oversee anti-money laundering (AML) policies, KYC norms, and risk management systems.

5. **Grievance Redressal**:

- Act as the point of contact for client complaints and ensure timely resolution as per regulatory guidelines.
- Maintain records of complaints and oversee effective communication with clients and regulators during the resolution process.

6. **Training and Awareness**:

- Conduct training sessions for employees on SEBI laws, insider trading regulations, and compliance best practices.
- Build awareness about regulatory changes and compliance expectations across departments.

7. **Surveillance and Monitoring**:

- Monitor employee trades, brokerage activities, and potential conflicts of interest to ensure ethical conduct.
- Use surveillance tools to identify unusual trading patterns and ensure compliance with insider trading regulations.

8. **Coordination with Regulators**:

- Liaise with SEBI, NSE, BSE, and other regulatory bodies for inspections, clarifications, and regulatory updates.
- Respond promptly to regulatory inquiries and notices while maintaining a professional rapport with regulators.

**Key Skills & Competencies**:

- **Technical Knowledge**:
○ Strong understanding of SEBI laws, insider trading regulations, AML guidelines, and stock exchange rules.

○ Familiarity with KYC norms, investor protection frameworks, and compliance management tools.

○ Experience in handling SEBI inspections and regulatory audits.
- **Soft Skills**:
○ Strong analytical and problem-solving skills.

○ Excellent communication and interpersonal skills to interact with regulators, clients, and internal teams.

○ High attention to detail and ability to work under strict deadlines.

**Educational Qualifications**:

- **Essential**: Bachelor’s degree in Commerce, Law, Finance, or related fields.
- **Preferred**: MBA (Finance), CA, or LLB with certifications in compliance or SEBI regulations.

Pay: ₹1,000,000.00 - ₹1,200,000.00 per year

Application Question(s):

- Do you have experience in managing regulatory compliance and dealing with SEBI inspections?

**Experience**:

- Compliance of Stock Broking Business: 4 years (required)

Work Location: In person