Compliance Officer

Job Description: Compliance Officer

Position Overview

We are seeking an experienced and detail-oriented Compliance Officer to manage and oversee all regulatory, legal, and compliance matters in our business. The Compliance Officer will ensure adherence to SEBI, NSE, BSE, CDSL/NSDL, and other statutory requirements while building a strong internal compliance culture.

Key Responsibilities

- Ensure compliance with SEBI, Exchanges (NSE, BSE, MCX, etc.), and Depositories (CDSL/NSDL) regulations.

- Draft, review, and implement internal compliance policies and procedures in line with regulatory updates.

- Monitor day-to-day operational activities to identify potential regulatory risks.

- File periodic reports, returns, and disclosures to SEBI, exchanges, and depositories on time.

- Conduct regular audits, inspections, and reviews of KYC, client onboarding, risk management, surveillance, and trading operations.

- Assist in regulatory inspections, audits, and inquiries by SEBI, exchanges, or statutory bodies.

- Ensure timely dissemination of regulatory circulars and guidelines to relevant teams.

- Conduct compliance training sessions for employees to strengthen adherence to laws and regulations.

- Maintain and update compliance manuals and records in accordance with statutory requirements.

- Report compliance breaches or potential risks to senior management and recommend corrective measures.

Qualifications & Requirements

- Graduate in Commerce, Finance, Law, or a related field (postgraduate or professional certifications like CS, CA, or LLB preferred).

- Minimum 5–7 years of experience in compliance within stock broking, capital markets, or financial services.

- Strong knowledge of SEBI regulations, exchange guidelines, and depository rules.

- Familiarity with Anti-Money Laundering (AML), PMLA, and KYC regulations.

- Excellent communication, analytical, and problem-solving skills.

- Ability to handle regulatory inspections and audits independently.

Key Skills

- Regulatory & Statutory Compliance

- Attention to Detail

- Risk Management & Internal Control

- Reporting & Documentation

- Stakeholder Coordination

- Ethics & Integrity

Reporting Structure

- The Compliance Officer will report directly to the Principal Officer/CEO/Managing Director and coordinate closely with compliance teams at exchanges and regulators.

Location

- Ranchi - Jharkhand

Employment Type

- Full-time, On-site