Compliance Officer

3 hours ago


Mumbai, Maharashtra, India Systematix Shares & Stocks Full time ₹ 40,00,000 - ₹ 1,20,00,000 per year

Role & responsibilities

  • To implement Exchange/SEBI/CDSL circular & guidelines
  • Assisting in Handling SEBI / Exchange Inspections & Internal Audit
  • Conducting AP and Branch Inspections
  • Assisting in any ongoing regulatory matters
  • Tracking of the service related communications
  • Liaison with exchanges/CDSL/SEBI
  • Tracking regulatory submissions and assisting in arranging for timely submissions
  • Tracking and monitoring of the Surveillance and regulatory alerts
  • Review of formats/polices of the company
  • Internal audits of different areas as and when identified by Compliance officer, or management
  • Broking industry would be preferable, though can look at candidates from Banking with understanding of SEBI regulations

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