Compliance Officer

Job Title: Compliance Officer – SEBI Registered Research Analyst (Remote)

Company Overview:

We are a SEBI-registered Research Analyst firm delivering high-quality equity and market research to our clients across India. Our commitment to transparency, ethics, and compliance forms the foundation of our work.

Position Overview:

We are seeking an experienced Compliance Officer who has previously worked with a SEBI-registered Research Analyst (RA) entity. The ideal candidate will ensure that our operations and research outputs strictly adhere to SEBI’s Research Analyst Regulations, 2014, and related guidelines.

Key Responsibilities:

• Oversee and ensure compliance with SEBI (Research Analysts) Regulations, 2014.
• Maintain updated compliance checklists, registers, and records as required by SEBI.
• Review and approve all research reports and investor communications before release.
• Liaise with SEBI, auditors, and other regulatory bodies as required.
• Conduct periodic internal audits to ensure adherence to applicable laws and guidelines.
• Train and guide internal teams on compliance policies and regulatory updates.
• Monitor and implement SEBI circulars, amendments, and notifications promptly.

Required Qualifications & Skills:

• Mandatory: Prior experience working as a Compliance Officer or in a compliance role for a SEBI-registered Research Analyst firm.
• In-depth understanding of SEBI regulations related to Research Analysts.
• Strong communication, documentation, and analytical skills.
• Ability to work independently in a remote environment.

Employment Type: Full-time, Remote

Compensation: Competitive – based on experience and qualifications.