Job Summary: Stock Yaari Technologies Private Limited is seeking a proactive and knowledgeable Compliance Officer with 3-5 years of experience, specializing in SEBI regulations and guidelines, particularly concerning Registered Advisors (RAs) and Registered Investment Advisors (RIAs). This role will be instrumental in ensuring Stock Yaari's adherence to all relevant compliance requirements, including reporting, advertising approvals, and implementation of board directives. Key Responsibilities: Regulatory Compliance: Ensure adherence to all applicable SEBI regulations, exchange rules, and other relevant securities laws. Monitor and interpret changes in regulatory requirements and implement necessary updates to internal policies and procedures. Prepare and submit regulatory filings and reports as required. Act as a liaison with regulatory bodies, including SEBI and stock exchanges. Compliance Program Management: Develop, implement, and maintain a comprehensive compliance program tailored to the stock trading and finance domain. Conduct regular compliance risk assessments and develop mitigation strategies. Establish and maintain internal controls to prevent and detect compliance violations. Develop and deliver compliance training programs for employees. Maintain accurate records of compliance activities, audits, and investigations. Anti-Money Laundering (AML) and Know Your Customer (KYC): Ensure compliance with AML and KYC regulations. Implement and maintain effective customer due diligence procedures. Monitor transactions for suspicious activity and report as required. Internal Audits and Investigations: Conduct internal audits to assess compliance with policies and procedures. Investigate alleged compliance violations and recommend corrective actions. Prepare and submit reports on investigation findings to senior management. Policy Development and Implementation: Draft and update internal compliance policies and procedures. Ensure that policies are clear, concise, and aligned with regulatory requirements. Communicate policy changes to employees and provide training as needed. Data Privacy and Security: Ensure compliance with data privacy regulations, including the handling of sensitive financial information. Work with the IT department to ensure cyber security compliance. RA/RIA Compliance: Ensure strict compliance with SEBI regulations and guidelines applicable to RAs and RIAs. Stay updated on all changes and amendments to relevant regulations. Maintain a thorough understanding of the compliance requirements specific to the stock trading and financial advisory domain. Reporting and Filings: Prepare and submit all necessary regulatory reports and filings pertaining to RA/RIA compliance. Ensure timely and accurate reporting to SEBI and other relevant authorities. Maintain meticulous records of all compliance-related activities. Advertising and Communication Approvals: Manage the process for advertising and communication approvals, ensuring compliance with SEBI guidelines. Review and approve marketing materials, website content, and other communication channels. Ensure all advertising and communication are fair, accurate, and not misleading. Circular Management and Board Reporting: Extract and analyze relevant SEBI circulars and present key information to the board of directors. Prepare clear and concise reports on compliance matters for board review. Implement compliance directives as instructed by the board and provide regular progress reports. Qualifications: Bachelor's degree in law, finance, business administration, or a related field. (Master's degree preferred). 3-5 years of experience in compliance, risk management, or a related field within the stock trading and finance domain. Strong knowledge of SEBI regulations, stock exchange rules, and other relevant securities laws. Experience in AML and KYC compliance. Proficiency in regulatory reporting and filings. Why Join Stock Yaari? Join a rapidly growing company that's building a vibrant community of empowered traders. At Stock Yaari Technologies Private Limited, you'll have the opportunity to learn and grow alongside a team of dedicated professionals. We value innovation, collaboration, and a commitment to excellence. If you're looking for a challenging and rewarding career in the fintech space, where you can contribute to a meaningful mission, Stock Yaari is your next step.
