Compliance Officer - Capital Markets Compliance

Job Summary:

The Compliance Officer ensures that the company, acting as a Registrar and Transfer Agent (RTA), complies with all regulatory requirements, internal policies, and industry best practices. This role involves monitoring compliance with SEBI (or relevant regulatory body) guidelines, investor grievance handling, reporting, audits, and internal controls.

Those with experience as Trustee Officers in AMC or DP Compliance can apply too.

Key Responsibilities:

Regulatory Compliance:

Ensure adherence to SEBI (Registrar and Share Transfer Agents) Regulations, Companies Act, and other applicable laws.

Stay updated on regulatory changes and implement necessary process modifications.

Prepare and file regulatory reports, disclosures, and compliance statements with relevant authorities.

Liaise with SEBI, stock exchanges, depositories, and other regulatory bodies for compliance-related matters.

Investor Grievance & Risk Management:

Oversee investor complaint resolution as per regulatory guidelines.

Implement robust risk management controls to prevent compliance breaches.

Ensure compliance with anti-money laundering (AML) and Know Your Customer (KYC) norms.

Internal Audits & Reporting:

Conduct internal audits and compliance checks on RTA functions.

Coordinate with external auditors for regulatory audits.

Maintain records and ensure proper documentation of all compliance-related activities.

Process & Policy Implementation:

Develop and maintain compliance policies and standard operating procedures (SOPs).

Train employees on regulatory compliance and best practices.

Identify process gaps and recommend corrective actions.

Qualifications & Skills:

Bachelor's or master’s degree in law, Finance, Business Administration, or related field.

5+ years of experience in RTA operations, compliance, or regulatory affairs.

Strong understanding of SEBI regulations, Companies Act, AML/KYC norms, and other compliance frameworks.

Experience in handling investor grievances and regulatory audits.

Excellent analytical, communication, and problem-solving skills.

Proficiency in compliance management tools and reporting software.

Preferred Certifications:

NISM-Series-IIA (Registrar to an Issue & Share Transfer Agent) certification.

Certified Compliance Professional (CCP) or equivalent.