Compliance Officer

4 days ago

Mumbai Maharashtra, India CSAPL Full time

ob Title: Compliance Officer

Company Name - CapitalSquare Financial Services Private Limited

Location: Mumbai

Reporting To: Compliance Head / Senior Management

About the Company:
CapitalSquare Financial Services Private Limited is a dynamic trading member registered with the Bombay Stock Exchange (BSE). We specialize in delivering comprehensive trading solutions while adhering to the highest standards of regulatory compliance. We are committed to maintaining transparency, integrity, and excellence in all our operations to serve our clients better.

Job Summary:
The Compliance Officer will be responsible for ensuring that the trading member firm complies with all regulatory requirements laid down by NSE, BSE, SEBI (Securities and Exchange Board of India), and other relevant authorities. The role involves monitoring trading activities, reviewing internal policies, conducting audits, and ensuring adherence to legal and regulatory frameworks to mitigate compliance risks.

Key Responsibilities:

- Monitor and ensure compliance with NSE, BSE, SEBI regulations, and other applicable laws.
- Implement and maintain the firm’s compliance framework and internal control systems.
- Conduct periodic compliance audits and risk assessments related to trading activities.
- Review and update compliance manuals, policies, and procedures.
- Liaise with regulatory bodies during inspections, audits, or investigations.
- Train employees and senior management on regulatory requirements and internal policies.
- Report any breaches or irregularities to senior management and regulatory authorities as required.
- Maintain proper records of compliance-related documentation and reports.
- Oversee client onboarding procedures, including KYC (Know Your Customer) and AML (Anti-Money Laundering) compliance.
- Keep abreast of changes in securities laws, regulations, and industry best practices.
- Coordinate with internal departments (Legal, Risk, Finance) to ensure compliance is embedded across operations.

Qualifications & Experience:

- Bachelor’s degree in Law, Commerce, Finance, or related field.
- Certification in Compliance (such as NISM Certifications, ICAI Diploma, or equivalent) preferred.
- Minimum 2-5 years of experience in compliance within the securities market, preferably with exposure to NSE and BSE trading members.
- Sound knowledge of SEBI regulations, circulars, and relevant laws governing stock market operations.
- Familiarity with KYC/AML guidelines and reporting standards.

Skills & Competencies:

- Strong understanding of regulatory compliance and risk management frameworks.
- Excellent analytical and problem-solving skills.
- Attention to detail and high ethical standards.
- Effective communication and interpersonal skills.
- Ability to work independently and as part of a team.
- Proficiency in MS Office and compliance management software/tools.

Reporting & Coordination:

- Reports to: Compliance Head / Senior Management
- Coordinates with: Legal, Risk, Operations, Internal Audit, and external regulators.

Additional Information:

- Must ensure confidentiality and integrity in handling sensitive information.
- Ability to adapt quickly to regulatory changes and evolving business environments.

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