Compliance Officer
2 days ago
Job Description: Compliance Officer
Position Overview
We are seeking an experienced and detail-oriented Compliance Officer to manage and oversee all regulatory, legal, and compliance matters in our business. The Compliance Officer will ensure adherence to SEBI, NSE, BSE, CDSL/NSDL, and other statutory requirements while building a strong internal compliance culture.
Key Responsibilities
Ensure compliance with SEBI, Exchanges (NSE, BSE, MCX, etc.), and Depositories (CDSL/NSDL) regulations.
Draft, review, and implement internal compliance policies and procedures in line with regulatory updates.
Monitor day-to-day operational activities to identify potential regulatory risks.
File periodic reports, returns, and disclosures to SEBI, exchanges, and depositories on time.
Conduct regular audits, inspections, and reviews of KYC, client onboarding, risk management, surveillance, and trading operations.
Assist in regulatory inspections, audits, and inquiries by SEBI, exchanges, or statutory bodies.
Ensure timely dissemination of regulatory circulars and guidelines to relevant teams.
Conduct compliance training sessions for employees to strengthen adherence to laws and regulations.
Maintain and update compliance manuals and records in accordance with statutory requirements.
Report compliance breaches or potential risks to senior management and recommend corrective measures.
Qualifications & Requirements
Graduate in Commerce, Finance, Law, or a related field (postgraduate or professional certifications like CS, CA, or LLB preferred).
Minimum 5–7 years of experience in compliance within stock broking, capital markets, or financial services.
Strong knowledge of SEBI regulations, exchange guidelines, and depository rules.
Familiarity with Anti-Money Laundering (AML), PMLA, and KYC regulations.
Excellent communication, analytical, and problem-solving skills.
Ability to handle regulatory inspections and audits independently.
Key Skills
Regulatory & Statutory Compliance
Attention to Detail
Risk Management & Internal Control
Reporting & Documentation
Stakeholder Coordination
Ethics & Integrity
Reporting Structure
- The Compliance Officer will report directly to the Principal Officer/CEO/Managing Director and coordinate closely with compliance teams at exchanges and regulators.
Location
- Ranchi - Jharkhand
Employment Type
- Full-time, On-site
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