Compliance Officer

7 days ago

Ashoknagar Bengaluru Karnataka, India Zanskar Tech Pvt Ltd Full time

**Compliance Officer - Bengaluru (Zanskar Securities)**

**Job Title: Compliance Officer**

**Location: Bengaluru, India**

**Reporting Manager: Head of Compliance / CEO**

**About Zanskar Securities: Zanskar Securities is a stock brokerage firm involved in quantitative and algorithmic trading, specializing in electronic market-making and advanced options analytics.**

**Job Summary: The Compliance Officer in Bengaluru will ensure that Zanskar Securities complies with SEBI regulations, maintain regulatory submissions, and oversee compliance processes within the brokerage operations. The role involves coordinating with regulatory bodies, managing client onboarding processes, and mitigating all legal risks.**

**Key Responsibilities**:

- **Ensure the firm complies with SEBI regulations and stays updated on any changes in securities laws.**:

- **Coordinate regulatory submissions and maintain documentation for audits.**:

- **Oversee client onboarding processes, ensuring KYC and AML procedures are in place.**:

- **Act as the primary contact for regulatory bodies and manage client queries regarding compliance matters.**:

- **Coordinate audits and inspections by external regulatory bodies.**:

- **Investigate compliance incidents and report findings to senior management.**:

- **Provide regular compliance reports to the Head of Compliance/CEO, highlighting audit results and areas of concern.**

**Qualifications and Skills**:

- **Minimum of 5 years of experience in compliance or related roles within the securities market or financial services industry.**:

- **Strong knowledge of SEBI regulations and compliance frameworks.**:

- **Experience with financial services or brokerage firms is preferred.**:

- **Excellent communication skills, with the ability to manage relationships with regulatory bodies and clients.**:

- **High ethical standards and attention to detail.**

**Key Competencies**:

- **In-depth understanding of compliance within the securities market.**:

- **Ability to manage multiple tasks and meet tight deadlines.**:

- **Strong problem-solving skills and regulatory compliance focus.**

Pay: ₹41,667.00 - ₹166,667.00 per month

**Benefits**:

- Food provided
- Health insurance
- Provident Fund

Schedule:

- Day shift

Ability to commute/relocate:

- Ashoknagar, Bengaluru, Karnataka: Reliably commute or planning to relocate before starting work (required)

Application Question(s):

- What is your current company, and what position do you hold?
- What is your current CTC, and what is your expected CTC for this role?
- Why are you considering a switch from your current job?
- What types of companies have you worked for in the past (e.g., brokerage firms, financial services, etc.)?
- What is your notice period at your current company?

**Experience**:

- total work: 5 years (required)

Work Location: In person

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