Compliance Officer

2 weeks ago


Ludhiana Punjab, India Pioneer Academy & HR Consultants Full time

Monitor and ensure compliance with SEBI regulations, guidelines, and circulars relevant to Portfolio Management Services (PMS).

Manage and oversee all government compliance matters, including filing regulatory reports, maintaining records, and adhering to statutory obligations.

Develop, implement, and periodically review compliance policies and procedures to ensure alignment with regulatory requirements.

Coordinate with internal departments to promote understanding and compliance with all regulatory obligations.

Prepare and submit timely and accurate reports to regulatory bodies.

Conduct regular audits and compliance checks to identify potential risks or non-compliance issues and implement corrective measures.

Serve as the primary contact for regulatory inquiries, inspections, or audits conducted by SEBI or other governmental authorities.

Stay updated on changes in laws, regulations, and industry best practices, providing senior management with insights and recommendations.

Develop and conduct compliance training programs to enhance employee awareness of compliance standards and practices.

Liaise with external legal counsel, regulators, and other stakeholders as necessary.

**Experience**:

- total work: 3 years (preferred)

Work Location: In person


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