Compliance Officer

Company Overview

Enrich Money is a well-established Wealth-Tech company, renowned for its all-encompassing investment and trading platform, ORCA. Accessible via both web and mobile devices, Enrich Money holds membership with MCX, NSE, BSE, and CDSL. Our primary objective is to streamline Multi-Asset investments and bridge market gaps by offering an empowered platform that caters to a variety of asset classes.

Job Summary

We are seeking an experienced and dedicated Compliance Officer to join our team. The ideal candidate will have substantial expertise in compliance management, specifically within the Indian stock market, and a proven track record of maintaining relationships with exchange personnel from leading institutions like MCX, NSE, BSE, CDSL, and others. This role requires a deep understanding of regulatory frameworks, operational processes, and the ability to ensure strict adherence to guidelines set by governing bodies.

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Key Responsibilities

1. Compliance Management:

o Monitor and ensure adherence to all regulatory and statutory requirements as outlined by SEBI, MCX, NSE, BSE, and CDSL.

o Develop, implement, and maintain compliance policies, procedures, and controls tailored to stock market operations.

o Stay updated on the latest regulations, circulars, and notices issued by regulatory authorities and exchanges.

2. Exchange Relationship Management:

o Build and maintain strong relationships with personnel at MCX, NSE, BSE, CDSL, and other relevant exchanges.

o Act as the primary point of contact for exchange-related queries, audits, and inspections.

o Ensure timely submission of reports, filings, and compliance certificates to exchanges.

3. Audits and Inspections:

o Coordinate with regulatory authorities for inspections, audits, and inquiries.

o Address audit findings and implement corrective actions as required.

o Conduct internal compliance audits to ensure operational efficiency and regulatory adherence.

4. Risk Management:

o Identify compliance risks and implement mitigation strategies.

o Develop a compliance framework that minimizes legal and regulatory risks.

5. Reporting and Documentation:

o Prepare and submit periodic reports to regulatory authorities and exchanges.

o Maintain accurate records of compliance activities, correspondence with exchanges, and any regulatory updates.

6. Training and Awareness:

o Conduct training sessions for employees on regulatory requirements and compliance best practices.

o Ensure all relevant personnel are aware of changes in regulations and their implications.

Key Skills and Competencies

In-depth Knowledge:

o Comprehensive understanding of SEBI regulations and guidelines.

o Expertise in compliance requirements of MCX, NSE, BSE, CDSL, and other Indian exchanges.

Relationship Management:

o Strong networking skills to establish and sustain relationships with exchange personnel.

Regulatory Expertise:

o Knowledge of KYC norms, AML (Anti-Money Laundering) policies, PMLA guidelines, and other relevant laws.

Analytical Skills:

o Ability to analyze compliance issues and provide practical solutions.

Communication Skills:

o Excellent verbal and written communication skills to interact with regulatory authorities and internal teams effectively.

Qualifications and Experience

• Bachelor's degree in finance, Law, Business Administration, or a related field.

• A minimum of 1– 4 years of exclusive experience in compliance management within the Indian stock market.

• Proven experience working with or maintaining relationships with personnel from MCX, NSE, BSE, CDSL, and other exchanges.

• Certification in compliance or risk management (preferred).

Why Join Us?

• Opportunity to work in a dynamic environment with exposure to the Indian stock market's regulatory  landscape.
• Be part of a team that values innovation, integrity, and compliance.
• Competitive salary and benefits package.