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Compliance Officer

2 weeks ago

Kolkata West Bengal, India Karuna Management Services Ltd Full time

Compliance Officer

Location: Head office, Girish Park, Kolkata
**Department: Compliance**
**Division : Financials (Sharemarket/ Trading )**

**Job Description**:
We
are seeking a highly skilled and detail-oriented Compliance Officer to
overseeing various regulatory compliance functions, ensuring risk
management practices are in place, and managing critical reporting tasks
related to margin reports, client accounts, audits, and surveillance
for the NSE, BSE, and other exchanges. This role requires expertise in
financial systems, risk management, and reporting to regulatory bodies.

Key Responsibilities:
implementing
regulatory circulars from NSE and BSE, ensuring proper ledger postings,
verifying new account opening processes, checking BRS outstanding
cheque status, and uploading margin and allocation reports. The role
involves monitoring risk margins, verifying segregation and holding
files, handling investor grievances, and preparing reports for internal
audits, RBS submissions, and system audits. Additional tasks include
preparing FATCA and AML reports, managing surveillance uploads,
preparing data for exchange inspections, and ensuring compliance with
SEBI regulations. The officer will also ensure that all processes are in
line with client KYC, risk management protocols, and regulatory
requirements.

Profile Requirements:
Minimum 10 years of experience in a similar role
In-depth knowledge of NSE, BSE, SEBI regulations, and compliance requirements.
Strong understanding of client KYC procedures, AML, FATCA, and risk management processes.
**Proficient in handling margin reports, BRS, allocation, segregation, and surveillance.**
**Advanced Excel skills and Hands-on working experience on SharePro.**

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

Pay: ₹45,000.00 - ₹50,000.00 per month

**Benefits**:

- Cell phone reimbursement
- Paid sick time

Schedule:

- Day shift

Supplemental Pay:

- Yearly bonus

**Experience**:

- total work: 10 years (required)

Work Location: In person