Compliance Officer

You will be responsible for the following key activities as a Compliance Manager at PlusWealth Capital Management: - Handling Compliance activities related to Stock Broker and Depository Participant towards various regulatory bodies such as SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA, MCA, ROC, GIFT Authority, SEZ Operations, and AIF (Alternative Investment Fund Cat-3). - Coordinating regularly with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, and Vendors. - Managing Daily, Monthly, Quarterly, Half-yearly, and Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultants, Auditors, and Investors. - Ensuring smooth functioning and conduct of Audits, Inspections & Investigations of the organization by SEBI, IFSCA, Exchanges, Depositories, etc. - Handling Ad hoc queries from Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU, Clients / Investors, and RMS/Trading/Accounts division of the organization. - Reviewing E-mail boxes of all relevant entities daily to address important communications promptly. - Engaging with auditors, inspecting officials, stakeholders, vendors, and consultants regularly. Additionally, you will be required to oversee, supervise, and perform daily tasks as outlined in the attached tasks list of Compliance and DP departments. Join PlusWealth Capital Management and contribute to shaping the future of trading with your expertise in Compliance Management.,