Compliance Officer

3 days ago

Baner Pune Maharashtra, India Demium Research Private Limited Full time

**Job Description: Compliance Officer**

**Position**: Compliance Officer
**Location**: Pune
**Company**: Demium Research Pvt Ltd

**Department**: Compliance

**Job Summary**:
**Key Responsibilities**:

- **Regulatory Compliance**: Ensure all equity research activities comply with SEBI regulations and guidelines, including the necessary disclosures and reporting requirements.
- **Policy Development**: Develop, implement, and maintain compliance policies and procedures related to equity research activities, ensuring alignment with regulatory standards.
- **Monitoring and Reporting**: Regularly monitor research outputs and practices to identify any compliance gaps or issues. Prepare compliance reports for senior management and regulatory bodies as required.
- **Training and Awareness**: Conduct training sessions and workshops for the research team to enhance understanding of compliance requirements and promote a culture of ethical conduct.
- **Audit Support**: Assist in internal and external audits related to compliance, providing necessary documentation and responses to queries.
- **Regulatory Updates**: Stay informed about changes in relevant laws and regulations, and proactively assess their impact on the firm’s compliance framework.
- **Risk Assessment**: Identify potential compliance risks associated with equity research activities and recommend appropriate mitigation strategies.
- **Liaison**: Act as the primary point of contact for regulatory bodies regarding compliance matters related to equity research.

**Qualifications**:

- Bachelor’s degree in Finance, Business, Law, or a related field; Master’s degree or professional qualifications Finance.
- Mandatory certification in NISM Series V (Research Analyst).
- Proven experience in compliance roles, particularly within financial services or equity research.
- Strong understanding of SEBI regulations, compliance frameworks, and best practices in financial research.
- Excellent analytical, communication, and interpersonal skills.
- Detail-oriented with strong organizational skills and the ability to manage multiple tasks.

Pay: ₹25,000.00 - ₹30,000.00 per month

**Experience**:

- total work: 1 year (required)

Work Location: In person

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