Compliance Officer

You will be joining PlusWealth Capital Management, a high-frequency trading organization that has been a pioneer in innovative trading solutions since 2008. As a Compliance Manager, your role will involve shaping the future of trading by handling various compliance activities related to Stock Broker and Depository Participant towards regulatory bodies such as SEBI, Stock Exchanges, Depository, and other relevant entities. Your responsibilities will include but are not limited to: - Coordinating with a wide range of stakeholders including Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, and Vendors on a regular basis - Ensuring compliance with Daily, Monthly, Quarterly, Half-yearly, and Annual requirements of the AIF, Stock Broking, and Depository Participant towards regulators like SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant, Auditors, and Investors - Managing Audits, Inspections & Investigations conducted by SEBI, IFSCA, Exchanges, Depositories, and other regulatory bodies on a scheduled or ad-hoc basis - Addressing ad hoc queries from Regulators, Investigation/Surveillance Divisions of Exchanges/Depositories, KRA, CERSAI, CKYC, FIU, Clients/Investors, and internal divisions of the organization - Reviewing daily communication received via email from relevant entities to ensure timely responses to important matters - Engaging with auditors, inspecting officials, stakeholders, vendors, and consultants on a regular basis - Supervising and performing daily tasks as outlined in the attached tasks list of Compliance and DP departments in addition to the above responsibilities Your role as a Compliance Manager will be crucial in ensuring the smooth functioning and adherence to regulatory requirements for PlusWealth Capital Management.,