Compliance Officer

1 week ago

New Delhi, India Signature Global Comtrade Full time

Responsibilities and Requirements for Compliance Officer in leading stock broking house Signature Global Comtrade Pvt. Ltd. We are a product focussed, engineering-heavy, high-ownership company with a culture of close-knit, hardworking, and supportive colleagues ready to help in challenging work.
- Tracking, dissemination and implementing circulars of SEBI, Exchanges, Depositories
- Account opening queries including of NRI and approving various processes of account opening
- Handling compliance on Insider Trading Regulations (employee trading)
- Review of various policies of the organization
- Making representation to Regulators.
- Making submissions of various regulatory reportings to Regulators.
- Handling Inspection/Internal Audits/System Audit/Cyber audit
- Research regulations related compliance
- Handling SEBI/Exchange investigations
- Replying to Surveillance related mails from Regulators
- Reply to Observation letters/show cause notices
- Comfortable with client handling. Good communication skills. Patience, maturity and genuine customer empathy. Past experience working with a Stock Broker, associated trader. Full time job posting with potential to rise up in ranks with justified incentives and recognition.

Let's Grow Together

**Salary**: ₹600,000.00 - ₹1,200,000.00 per year

Schedule:

- Day shift
- Evening shift
- Monday to Friday
- Weekend availability

Ability to commute/relocate:

- New Delhi, North West - 110034, Delhi: Reliably commute or planning to relocate before starting work (required)

Application Question(s):

- Please attach your Resume, if applicable.

**Experience**:

- total work: 2 years (preferred)

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