Compliance Officer

1 day ago

Mumbai, Maharashtra, India Permanent Solution Full time ₹ 10,00,000 - ₹ 12,00,000 per year

Looking for a Compliance Officer for a Stock Broking Firm based in Mumbai.

Key Responsibilities:

1. Regulatory Compliance:

  • Ensure full compliance with SEBI regulations, stock exchange rules, and other applicable laws governing the stock broking business.
  • Regularly monitor and review changes in SEBI guidelines and circulars, and implement necessary updates in processes and policies.

2. Internal Audits and Inspections:

  • Conduct periodic compliance audits of all business processes, systems, and client dealings.
  • Prepare for SEBI, stock exchange, and internal/external audits by ensuring documentation and processes are audit-ready.
  • Address audit findings and ensure timely resolution of compliance gaps.

3. Reporting and Filings:

  • Prepare and submit regulatory filings, including returns, disclosures, and reports, to SEBI, exchanges (NSE/BSE), and other regulatory bodies.
  • Ensure accuracy and timeliness in reporting requirements, including quarterly compliance reports and investor grievance redressal data.

4. Policy Development and Implementation:

  • Develop, review, and update compliance policies, manuals, and operating procedures in line with SEBI regulations.
  • Implement and oversee anti-money laundering (AML) policies, KYC norms, and risk management systems.

5. Grievance Redressal:

  • Act as the point of contact for client complaints and ensure timely resolution as per regulatory guidelines.
  • Maintain records of complaints and oversee effective communication with clients and regulators during the resolution process.

6. Training and Awareness:

  • Conduct training sessions for employees on SEBI laws, insider trading regulations, and compliance best practices.
  • Build awareness about regulatory changes and compliance expectations across departments.
  • 7. Surveillance and Monitoring:
  • Monitor employee trades, brokerage activities, and potential conflicts of interest to ensure ethical conduct.
  • Use surveillance tools to identify unusual trading patterns and ensure compliance with insider trading regulations.

8. Coordination with Regulators:

  • Liaise with SEBI, NSE, BSE, and other regulatory bodies for inspections, clarifications, and regulatory updates.
  • Respond promptly to regulatory inquiries and notices while maintaining a professional rapport with regulators.

Key Skills & Competencies:

  • Technical Knowledge:

Strong understanding of SEBI laws, insider trading regulations, AML guidelines, and stock exchange rules.

Familiarity with KYC norms, investor protection frameworks, and compliance management tools.

Experience in handling SEBI inspections and regulatory audits.

  • Soft Skills:

Strong analytical and problem-solving skills.

Excellent communication and interpersonal skills to interact with regulators, clients, and internal teams.

High attention to detail and ability to work under strict deadlines.

Preferred Candidate Profile:

6+ years of experience as a Compliance Officer in a stock broking firm.

Proven track record of managing regulatory compliance and dealing with SEBI inspections.

Hands-on experience in developing compliance frameworks and policies.

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