Compliance Officer

2 weeks ago

Mumbai Maharashtra, India Equirus Full time

**About Equirus**

**About Equirus Wealth**

**Equirus** is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.

**Equirus Wealth** is a holistic Wealth Management platform founded in 2018 by a passionate group of seasoned professionals. It was formed with the objective of providing Client Centric, Comprehensive, and Transparent Wealth Management services for Individuals, Families, and Corporates. We specialize in Wealth Management, Mutual Funds, Primary and Secondary Debt, Real Estate, Market Linked Debentures, Alternate Investment Funds, Tax Advisory, Estate Planning, Offshore Products, Unlisted Securities, Portfolio Management Services, Investment Advisory.

**Position / Role Title**

**Compliance Officer**
- This role reports to the Head of Compliance_

**Job description**
- Ensuring & implementing compliances under SEBI (Stockbrokers) Regulations, SEBI (Research Analysts) Regulations, SEBI (Depositories and Participants) Regulations, SEBI (Prohibition of Insider Trading) Regulations, 2015, all other applicable laws & circulars, notification, rules issued thereunder.
Ensuring compliance of Wealth Distribution, RA, DP, Broking, Distribution and all other products that is offered by the company.
Liaising with exchange, depositories & Auditors for all matters.
Ensuring periodic & instance based operational reporting/filing relating to Exchange, Depository, FATCA/CRS etc.
Review & updating of all applicable policies, forms, documents in line with exchange & DP guidelines.
Onboarding of broking/DP clients in line KYC, KRA, CKYC guidelines.
Handling concurrent, internal/systems/cyber security audits etc. and inspections by Exchange, SEBI, CDSL etc.
Drafting, Vetting & executing various commercial/ business contracts and agreements
Handling investor grievance.
Interacting with the Board of Directors as needed.
Any other compliance matters assigned from time to time.
Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects

**Location(s)**
- Mumbai

**Requirement Specification**
- (Qualifications)_
- Graduate & Above or MBA/CS (preferred)
- Must have Broking / DP Compliance experience.
- Minimum 4-5 years of work experience with Stock Broking & DP entity.
- NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program.

**About the Job**:

- Salary:

- Negotiable

Company:

- Equirus

Role:

- Compliance Officer

Category:

- Wealth Distribution

**Location**:

- Mumbai, Maharashtra, India, India, Asia

Employment Type:

- Full time

  • Compliance Officer

    15 hours ago

    Mumbai, Maharashtra, India Generic Engineering Constructions and Project LTD Full time

    **Job Title: Compliance Officer** **Experience**: 5-8 Years **Location**: Head Office - Vidya Vihar **Role Overview** **Key Responsibilities** - Ensure compliance with all applicable **statutory, tax, and labor laws** governing the organization. - Maintain statutory registers, documentation, and records as required under company and labor regulations. -...

  • Compliance Office

    7 days ago

    Mumbai, Maharashtra, India Gretex Corporate Services Ltd Full time

    Summary As a Compliance Officer you will play a pivotal role in safeguarding the integrity and reputation of our financial services organization by ensuring strict adherence to global and local regulatory standards Reporting to the Head of Compliance or Compliance Manager you will be instrumental in shaping and reinforcing a proactive compliance culture...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India Theorynine Technologies pvt ltd Full time

    Urgent Requirement for the post of Compliance Officer  Exp - 2 Years  Location: Goregaon Mumbai   Key Responsibilities: - Knowledge of compliances applicable for the BFSI sector (SEBI, RBI, IRDAI, PFRDA) - Analyze, prepare the gist and implications of regulatory communication and broadcast it - Prepare a compliance checklist (both, on-going...

  • Compliance Officer

    3 weeks ago

    Mumbai, Maharashtra, India Weekday AI Full time

    This role is for one of Weekday s clients Min Experience 4 years Location Mumbai JobType full-time Requirements We are seeking a dedicated and detail-oriented Compliance Officer with at least 4 years of experience in the financial services industry with a strong focus on Regulatory Investment Advisory RIA Non-Discretionary ND portfolio management...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Permanent Solution Full time

    Opportunity to work with a leading stock broking firm in **Mumbai, Andheri East**. **Experience Required**: - **5+ years of experience as a Compliance Officer in a stock broking firm or financial services company. (Mandatory to have experience in Stock Broking business)** - Proven track record of managing regulatory compliance and dealing with SEBI...

  • Compliance Officer

    1 day ago

    Mumbai, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

    Compliance Officer Roles and Responsibilities : - Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines. - Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders...

  • Compliance Officer

    5 hours ago

    mumbai, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

    Compliance Officer Roles and Responsibilities : Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines. Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...

  • Compliance Officer

    2 days ago

    Mumbai, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

    Compliance OfficerRoles and Responsibilities :Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...

  • Compliance Officer

    1 day ago

    mumbai, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

    Compliance OfficerRoles and Responsibilities :Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...

  • Compliance Officer

    13 hours ago

    Mumbai, Maharashtra, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

    Compliance OfficerRoles and Responsibilities :Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...