Compliance Officer

Qualification & Experience

•Graduate & above, MBA/CS (preferred).

•Must have Broking / DP Compliance experience.

•Minimum 4-5 years of work experience with Stock Broking & DP entity.

•NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program.

Roles & Responsibilities

•Ensuring & implementing compliances under SEBI (Stockbrokers) Regulations, SEBI (Research Analysts) Regulations, SEBI (Depositories and Participants) Regulations, SEBI (Prohibition of Insider Trading) Regulations, 2015, all other applicable laws & circulars, notification, rules issued thereunder.

•Ensuring compliance of Wealth Distribution, RA, DP, Broking, Distribution and all other products that is offered by the company.

•Liaising with exchange, depositories & Auditors for all matters.

•Ensuring periodic & instance based operational reporting/filing relating to Exchange, Depository, FATCA/CRS etc.

•Review & updating of all applicable policies, forms, documents in line with exchange & DP guidelines.

•Onboarding of broking/DP clients in line KYC, KRA, CKYC guidelines.

•Handling concurrent, internal/systems/cyber security audits etc. and inspections by Exchange, SEBI, CDSL etc.

•Drafting, Vetting & executing various commercial/ business contracts and agreements

•Handling investor grievance.

•Interacting with the Board of Directors as needed.

•Any other compliance matters assigned from time to time.

•Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects.