Compliance Officer

7 hours 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
- 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)

  • Compliance Executive

    2 days ago

    Delhi, India Ammbition Payroll & Compliance Services Pvt Ltd Full time

    Job Title: HR Statutory Compliance Executive Job Overview: As an HR Statutory Compliance Executive, you will be responsible for ensuring that the organization complies with all relevant employment laws, regulations, and statutory requirements. Your role will play a crucial part in maintaining the company's ethical and legal standing, safeguarding employee...

  • Compliance Officer

    2 weeks ago

    New Delhi, India QX Global Group Full time

    This role profile is a blend of both the job description and person specification and clearly demonstrates the relationship between specific tasks and personal attributes. It is not exhaustive but is intended to give an overview of the role which will naturally change from time to time in line with business requirements. Job Description:Maintenance...

  • Compliance Officer

    3 weeks ago

    New Delhi, India SKS Enterpprises - Human Resource Planning and Management Full time

    Position Name -Compliance Officer Location -Mumbai Experience Range -5 to 8 years Job Roles and Responsibilities: The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s). The position requires strong regulatory understanding,...

  • Compliance Officer

    1 week ago

    New Delhi, India SKS Enterpprises - Human Resource Planning and Management Full time

    Position Name - Compliance Officer-AIFLocation - Gift City, GandhinagarExperience Range - 5-8 yrsMandatory Requirement:- Ensure end-to-end compliance with IFSC regulations, corporate laws, and other regulatory frameworksJob Roles and Responsibilities:- Ensure full compliance with all regulatory requirements under SEBI and/or IFSCA jurisdictions. - Supervise...

  • Sr Compliance officer

    2 weeks ago

    New Delhi, India IMS People Possible Full time

    Job Title:Compliance Officer / Senior Compliance Officer Location:Makarba, Ahmedabad.Shift Timings: 12:30 PM – 10:00 PM IST 1:30 PM – 11:00 PM IST (During Daylight Saving Time) About the Role: We are looking for a detail-oriented and proactiveCompliance Officer / Senior Compliance Officerto join our compliance team. The role involves managing and...

  • Compliance Officer

    3 days ago

    New Delhi, India PlusWealth Capital Management LLP Full time

    About UsPlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based trading algorithms. As a dynamic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our...

  • Compliance Officer

    5 days ago

    New Delhi, India PlusWealth Capital Management LLP Full time

    About UsPlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based trading algorithms. As a dynamic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our...

  • Sr Compliance officer

    7 days ago

    New Delhi, India IMS People Possible Full time

    Job Title:Compliance Officer / Senior Compliance OfficerLocation:Makarba, Ahmedabad.Shift Timings: 12:30 PM – 10:00 PM IST 1:30 PM – 11:00 PM IST (During Daylight Saving Time) About the Role: We are looking for a detail-oriented and proactiveCompliance Officer / Senior Compliance Officerto join our compliance team. The role involves managing and ensuring...

  • Company Secretary

    3 days ago

    New Delhi, India Orient Technologies Limited Full time

    Job Description – Secretarial & LegalPosition: Company Secretary and Compliance Officer (Secretarial & Legal)Location: MumbaiReports to: Managing Director / Board of DirectorsRole OverviewThe Company Secretary, Legal & Compliance Officer will be responsible for ensuring compliance with the provisions of the Companies Act, 2013, SEBI regulations, and all...

  • Compliance Officer

    1 week ago

    New Delhi, India Google Full time

    Minimum qualifications: - Master’s degree in Accountancy, Law, Technology, or equivalent practical experience. - 10 years of experience building and leading compliance/risk management programs. - 3 years of experience in a leadership role. Preferred qualifications: - Compliance leadership experience in a regulatory, compliance, or legal role. -...