Compliance Officer

Job Description: Compliance Officer – SEBI Registered Research Analyst

Company: Atiya Healthcare Pvt Ltd.
Location: Karol Bagh, New Delhi
Employment Type: Full-Time / Part-Time, subject to regulatory eligibility
Industry: Financial Services / Capital Markets

1. Job Overview

We are seeking a qualified and detail-oriented Compliance Officer to manage regulatory compliance for our Research Analyst firm registered, or proposed to be registered, with the Securities and Exchange Board of India (SEBI).

The candidate will be responsible for monitoring compliance with applicable SEBI regulations, maintaining statutory records, reviewing research-related disclosures, coordinating audits and ensuring that the firm's operations adhere to applicable regulatory requirements.

2. Key Responsibilities

A. SEBI Regulatory Compliance

• Monitor compliance with SEBI Research Analysts Regulations, 2014, as amended, and applicable SEBI circulars and directions.
• Maintain a compliance calendar for applicable filings, disclosures and regulatory deadlines.
• Track regulatory updates and advise management on their implications.
• Assist with registration-related documentation and applicable RAASB and supervisory requirements.

B. Research Reports and Disclosures

• Review research reports, investment recommendations and disclosures for regulatory compliance.
• Verify applicable disclosures relating to conflicts of interest, financial interests and analyst holdings.
• Review marketing materials, website content and social media communications for compliance with applicable SEBI requirements.
• Help establish procedures for research integrity and appropriate management of conflicts of interest.

C. Documentation and Internal Controls

• Maintain records of research reports, recommendations, supporting documents and other prescribed records.
• Develop and maintain internal compliance policies and checklists.
• Monitor applicable employee and analyst personal-trading restrictions.
• Ensure records are maintained for the prescribed retention period.

D. Investor Grievances

• Monitor investor complaints and coordinate resolution within applicable timelines.
• Maintain grievance records and assist with applicable SCORES and other grievance-redressal processes.
• Support responses to regulatory queries, inspections and supervisory observations.

E. Audit and Reporting

• Coordinate the annual compliance audit with an eligible independent professional.
• Identify compliance gaps and monitor corrective actions.
• Prepare periodic compliance reports for management.
• Maintain evidence of compliance and ensure that outstanding issues are appropriately escalated.

3. Eligibility Criteria

Candidates must meet the eligibility requirements applicable to the proposed appointment under the latest SEBI Research Analysts Regulations and relevant directions.

Preferred qualifications:

• Member of the Institute of Chartered Accountants of India (ICAI); or
• Member of the Institute of Company Secretaries of India (ICSI); or
• Member of the Institute of Cost Accountants of India (ICMAI); or
• Member of another professional body specifically recognised or specified by SEBI, where applicable.

For appointment as an independent professional, the candidate must satisfy the applicable professional-membership, NISM certification and other regulatory requirements.

Candidates should be able to provide documentary evidence of their qualifications, professional membership and relevant certifications.

4. Experience Requirements

Required/preferred experience: 2–5 years in compliance or financial-services regulatory work.

Candidates should ideally have:

• At least 2 years of relevant experience in securities-market compliance, financial-services compliance or regulatory affairs.
• Practical knowledge of SEBI regulations and circulars applicable to Research Analysts or other securities-market intermediaries.
• Experience with compliance documentation, regulatory filings, internal controls and audit coordination.
• Exposure to reviewing research reports, investment recommendations and conflict-of-interest disclosures.
• Experience handling investor grievances and regulatory inspection documentation.

Preferred: Candidates with direct experience working with SEBI-registered Research Analyst firms, brokerage houses, investment advisers or other securities-market intermediaries.

5. Required Skills

• Strong understanding of SEBI regulations and securities-market compliance.
• Excellent documentation, analytical and communication skills.
• Ability to interpret regulatory circulars and translate them into operational procedures.
• High professional integrity, independence of judgment and attention to detail.
• Ability to coordinate effectively with management, auditors and regulatory stakeholders.

6. Expected Salary / Compensation

For a full-time position:

• Expected CTC: ₹3,00,000–₹4,00,000 per annum.
• Candidates with substantial direct SEBI RA compliance experience may be considered for higher compensation, depending on qualifications and responsibilities.

For a part-time or retainer-based engagement:

• Indicative professional fee: ₹8,000–₹12,000 per month, subject to scope, workload and regulatory eligibility.

The final compensation will depend on the candidate's qualifications, relevant experience, engagement model and the responsibilities assigned.

7. Application Requirements

Interested candidates should submit:

• Updated CV.
• Professional qualification and membership details, where applicable.
• Details and validity of relevant NISM certifications.
• Summary of SEBI compliance experience and the types of regulated entities supported.
• Current employment status, notice period and expected compensation.

Important: Any appointment will be subject to verification of eligibility under the applicable SEBI regulations. Part-time employment or a consulting arrangement will be considered only where the proposed structure is legally permissible.

Interested candidates can call on 8527001809 HR Mamta

Pay: ₹30,000.00 - ₹40,000.00 per month

Work Location: In person