Compliance Officer VSE Stock Services Limited

6.0 - 10.0 years

0 Lacs

vadodara, gujarat

On-site

The Compliance Officer in Stock Broking & Depository Participant department plays a crucial role in ensuring the company's adherence to regulatory and statutory requirements set by SEBI, Stock Exchanges (NSE, BSE), Depositories (CDSL), and other governing bodies. Acting as a liaison between the organization and regulators, the Compliance Officer focuses on risk mitigation, compliance reporting, and ethical governance. Responsibilities of the Compliance Officer include: - Ensuring regulatory compliance with SEBI, NSE, BSE, CDSL, and PMLA guidelines. - Monitoring daily operations to comply with circulars and directives from regulatory bodies. - Filing periodic regulatory reports such as SEBI Monthly/Quarterly/Annual reports, Exchanges surveillance reports, and Depository participant audit reports. - Maintaining internal policies in line with SEBI Stock Broker & DP Regulations. - Supervising client onboarding, risk profiling, PMLA checks, and AML procedures. - Monitoring client trades for suspicious activities and escalating alerts appropriately. - Facilitating internal audits, mock inspections, and regulatory inspections. - Maintaining statutory registers, records, and communication logs. - Handling client complaints and grievance redressal effectively. - Conducting compliance training for employees and disseminating regulatory circulars. - Reporting compliance updates and risk summaries to the Board of Directors. - Ensuring fair pricing, transparency, and cybersecurity compliance in business processes. - Acting as a point of contact with regulators and responding to regulatory correspondence promptly. Key Skills & Qualifications required for the role: - Educational Qualification: Graduate/Postgraduate in Commerce, Law, or Finance. Preferred: LLB /MBA Finance / Certified Compliance Professional. - Experience: Minimum 5-8 years in compliance roles within Stock Broking / DP operations. - Technical & Functional Skills: Understanding of SEBI regulations, NSE/BSE systems, CDSL platforms, PMLA, AML/CFT, FATCA guidelines, and compliance software/tools. - Behavioural Skills: High integrity, attention to detail, excellent communication, analytical, and problem-solving skills. - Regulatory Mandates: Must be designated as Compliance Officer as per SEBI regulations and report under SEBI (Stock Broker) Regulations and SEBI (DP) Regulations. Must maintain independence from sales, marketing, or trading activities for compliance. This position requires a dedicated individual with a strong regulatory compliance background and the ability to navigate complex regulatory frameworks effectively.,

Posted 1 day ago

Apply

Start Your Job Search Today

Browse through a variety of job opportunities tailored to your skills and preferences. Filter by location, experience, salary, and more to find your perfect fit.