Compliance Officer

4 days ago

Mulund West Mumbai Maharashtra, India Rikhav Securities Ltd Full time

Rikhav Securities ltd. is a Listed company in BSE, we are a stock broking firm since 2006. we are looking for the experience compliance officer from the Stock Broking Firm.
- Responsible for regulatory compliance in a stockbroking business and regulatory audit
- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.
- Manage all operational processes as per regulatory framework to ensure exchange compliance.
- Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories.
- Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc.
- Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.
- Assisting in handling Investor Grievances as per regulatory guidelines.
- Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines.
- Liaising with SEBI, Exchanges, Depositories for routine matters
- Ensure process-oriented, TAT-driven process as per defined SOP.
- Mentor and monitor team to ensure high level of accuracy and timely execution.
- Handling regulatory audits of SEBI, Exchanges, etc.
- Any other compliance matters as assigned from time to time.

**Eligibility**:

- B.COM/INTER CA/CA MINIMUM5 YEARS OF EXPERIENCE IN BROKING FIRM OPERATIONAS ONLY.
- Excellent organizational skills, including time management, record keeping, self
- scheduling, and follow-up.
- Expertise to draft clear and professional correspondence and other documents of a legal, compliance and business nature.
- Flexible and ability to prioritize tasks and manage multiple tasks within compressed timelines.

**Role**:Legal & Regulatory - Other

**Industry Type**:Financial Services (Broking)

**Department**:Legal & Regulatory

**Employment Type**:Full Time, Permanent

Pay: ₹25,000.00 - ₹100,000.00 per month

**Benefits**:

- Flexible schedule
- Leave encashment

Schedule:

- Day shift

Supplemental Pay:

- Yearly bonus

**Experience**:

- total work: 5 years (required)

Work Location: In person

Application Deadline: 31/05/2025
Expected Start Date: 10/06/2025

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