Compliance Officer

14 hours ago

Ranchi, Jharkhand, India First Demat Full time ₹ 5,00,000 - ₹ 15,00,000 per year

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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