Posted:3 days ago|
Platform:
On-site
Full Time
About the Role:
Stockology Securities Pvt Ltd are looking for an experienced Compliance Officer to manage and oversee compliance for Stock Broker Regulatory Compliances (TM/DP/Clearing) and Portfolio Management Services business. The role involves ensuring adherence to SEBI regulations, internal policies, and providing guidance to business teams.
Key Responsibilities:
Ensure compliance with SEBI regarding Stock Broker Regulatory Compliances, regulations, circulars, and reporting requirements.
Draft, implement, and update compliance policies and internal controls.
Monitor KYC/AML processes and investor onboarding.
Handle regulatory inspections, audits, and filings.
Provide compliance advisory support to investment, sales, and operations teams.
Conduct regular compliance reviews and maintain proper documentation.
Requirements:
Minimum 5 years of experience in compliance within Stock Broker Regulatory Compliances
Strong understanding of SEBI regulations, AML/KYC norms, and investment operations.
Professional qualifications such as CS/LLB/MBA (Finance) preferred.
Strong communication and stakeholder management skills.
Stockology Securities Private Limited
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