Assistant Compliance Officer

Junior Compliance Officer

Responsibilities

• Monitor and ensure compliance with all SEBI and stock exchange regulations (NSE, BSE, MCX, etc.)
• Assist in the preparation and submission of regulatory reports and filings.
• Support the KYC/AML verification process and ongoing customer due diligence.
• Help in monitoring trading activities and flagging any suspicious transactions.
• Maintain and update compliance documentation and internal policies.
• Assist with internal audits, inspections, and risk assessments.
• Coordinate with various departments to ensure compliance awareness.
• Respond to compliance-related inquiries and support regulatory inspections.
• Keep abreast of regulatory changes and update the compliance team accordingly.

Qualifications

• Bachelor’s degree in Commerce, Law or related field. (Master’s degree or relevant certification is a plus)

0–2 years of experience in compliance, preferably in a broking or financial services firm.

• Knowledge of SEBI regulations, AML guidelines, and KYC norms.
• Familiarity with stock market operations and trading platforms.
• Strong analytical and problem-solving skills.
• High attention to detail and organizational skills.
• Proficiency in MS Office (Excel, Word, PowerPoint).
• Strong communication and documentation abilities.
  

Preferred Qualifications

• NISM-Series Certifications (e.g., NISM Series)
• Certificate in Compliance / Risk Management

To Apply:

Please send your resume to mansishareshr@gmail.com

with the subject line: Application for Junior Compliance Officer – [Your Name]