Compliance Officer

4 hours ago

Mumbai, Maharashtra, India Equirus Full time ₹ 5,00,000 - ₹ 15,00,000 per year
Job Description:

About Equirus

About Equirus Wealth

Equirus is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.

For more details you can visit us at

Equirus Wealth is a holistic Wealth Management platform founded in 2018 by a passionate group of seasoned professionals. It was formed with the objective of providing Client Centric, Comprehensive, and Transparent Wealth Management services for Individuals, Families, and Corporates. We specialize in Wealth Management, Mutual Funds, Primary and Secondary Debt, Real Estate, Market Linked Debentures, Alternate Investment Funds, Tax Advisory, Estate Planning, Offshore Products, Unlisted Securities, Portfolio Management Services, Investment Advisory.

For more details you can visit us at

Position / Role Title

Compliance Officer

This role reports to the Head of Compliance

Job description

Ensuring & implementing compliances under SEBI (Stockbrokers) Regulations, SEBI (Research Analysts) Regulations, SEBI (Depositories and Participants) Regulations, SEBI (Prohibition of Insider Trading) Regulations, 2015, all other applicable laws & circulars, notification, rules issued thereunder.

Ensuring compliance of Wealth Distribution, RA, DP, Broking, Distribution and all other products that is offered by the company.

Liaising with exchange, depositories & Auditors for all matters.

Ensuring periodic & instance based operational reporting/filing relating to Exchange, Depository, FATCA/CRS etc.

Review & updating of all applicable policies, forms, documents in line with exchange & DP guidelines.

Onboarding of broking/DP clients in line KYC, KRA, CKYC guidelines.

Handling concurrent, internal/systems/cyber security audits etc. and inspections by Exchange, SEBI, CDSL etc.

Drafting, Vetting & executing various commercial/ business contracts and agreements

Handling investor grievance.

Interacting with the Board of Directors as needed.

Any other compliance matters assigned from time to time.

Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects

Location(s)

Mumbai

Requirement Specification

(Qualifications)

  • Graduate & Above or MBA/CS (preferred)
  • Must have Broking / DP Compliance experience.
  • Minimum 4-5 years of work experience with Stock Broking & DP entity.
  • NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program.
About the Job:

Salary:

Negotiable

Company:

Equirus

Role :

Compliance Officer

Category:

Wealth Distribution

Location:

Mumbai, Maharashtra, India, India, Asia

Employment Type:

Full time

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