Compliance Officer

3 days ago

Noida, India NX Block Trades Private Limited Full time

Job Title: Compliance Officer
Company: NX Block Trades Pvt Ltd
Location: Noida, Uttar Pradesh

**Job Overview**:
NX Block Trades is actively seeking an experienced and strategic leader to fill the role of
Exchanges, and other relevant authorities.

**Responsibilities**:
**Leadership and Strategy**:

- Provide strategic leadership to the Compliance Department, setting clear objectives and priorities.
- Develop and execute a comprehensive compliance strategy aligned with the firm's business goals.

**Compliance Oversight**:

- Stay abreast of SEBI regulations, exchange regulations, and other relevant guidelines, interpreting and communicating changes to the team.
- Ensure the development and implementation of robust compliance programs specifically tailored to requirements.

**Exchange related compliances**:

- All client related compliances including reporting, margin allocation, pay-in and pay-outs, etc.

**Internal Compliance Programs**:

- Oversee the development and enforcement of internal policies and procedures to ensure compliance with SEBI regulations and other relevant authorities.
- Conduct regular risk assessments to identify potential compliance issues and implement corrective measures.

**Training and Education**:

- Provide leadership and guidance to employees on SEBI and exchange regulations, and compliance-related matters.

**Monitoring and Reporting**:

- Establish and maintain a robust monitoring system to detect and report compliance violations.
- Ensure the preparation and submission of regular compliance reports to senior management and regulatory authorities.

**Liaison**:

- Serve as the primary point of contact for SEBI, exchanges, and other regulatory bodies.
- Ensure timely and accurate responses to inquiries and requests from regulatory authorities.

**Investigations**:

- Oversee and lead internal investigations related to compliance matters.

**Record-keeping**:

- Ensure the maintenance of comprehensive and organized records of SEBI compliance activities, exchange notices, reports, and corrective actions.

**Requirements**:

- Proven experience (min. 5 years) as a Compliance Officer in stock broking firms with experience in Client related compliances.
- In-depth knowledge of SEBI guidelines, securities regulations, and other relevant financial regulations.
- Strong leadership, analytical skills, and attention to detail.
- Ability to work independently and collaboratively with cross-functional teams.
- Sound judgment and decision-making abilities.

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

**Salary**: ₹100,000.00 - ₹2,000,000.00 per year

**Benefits**:

- Food provided
- Leave encashment
- Paid sick time
- Paid time off
- Provident Fund

Schedule:

- Day shift

Work Location: In person

**Speak with the employer**
+91 8447370986

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