Compliance Officer

We are seeking a driven and successful Equity Compliance Officer to head our Jaipur Compliance team. The individual would be responsible for maintaining the compliance of the company and being up-to-date to the changes implemented by the Exchange and SEBI from time to time.

Responsibilities for Compliance Officer

• Mastermind compliance policies and protocols on behalf of the organization
• Develop and implement a compliance program to ensure the organization operates in accordance with state and federal laws
• Determine compliance metrics and establish a system for tracking them
• Sign off on any marketing and advertising collateral to ensure it is in compliance
• Remain up to date on regulations created by SEBI, NSE, and BSE related to the organization and update policies accordingly
• Perform compliance audits to determine whether established protocols are being followed and where they can be improved
• Maintain up to date written documentation and policies related to the organization's business activities
• Create a compliance resource library for staff members to reference when they have questions

Qualifications for Compliance Officer

• 2+ years prior experience in risk management or compliance roles
• Must have, or be willing to obtain a compliance certification
• Superior attention to detail in order to identify and correct risky practices
• Must be a strong communicator and capable of expressing oneself clearly both speaking and in writing
• Possess a collaborative personality and be open to suggestions from team members
• Exemplify strong knowledge of industry protocols and best practices
• Excellent analytical skills and ability to accurately interpret complex documents and policies
• Strong time management and organizational skills and able to meet deadlines
• Should have a strong moral code and sense of ethics