Compliance Officer

Compliance Officer

Key Responsibilities:

• Ensure compliance with regulatory frameworks of

  BSE, NSE, INX, IFSC, and SEBI

  .
• Monitor and implement internal control systems to meet statutory and exchange guidelines.
• Prepare and submit periodic compliance reports, returns, and disclosures to exchanges and regulators.
• Liaise with exchanges, depositories, and regulatory bodies for all compliance-related matters.
• Conduct internal audits and inspections to identify compliance gaps and suggest corrective actions.
• Maintain updated records of circulars, notifications, and amendments from SEBI and exchanges.
• Oversee KYC, AML, and client onboarding procedures as per exchange and regulatory norms.
• Guide internal teams regarding compliance procedures and regulatory updates.
• Handle queries or inspections from regulatory authorities and ensure timely responses.

Required Skills & Qualifications:

• Graduate / Postgraduate in Commerce, Finance, Law, or related field.

• Minimum 3 years of experience

  in compliance within a

  stock broking or capital market organization.

• Strong understanding of

  BSE, NSE, INX, IFSC, and SEBI

  guidelines.
• Excellent knowledge of exchange reporting, circulars, and compliance audit processes.
• Proficiency in MS Excel, compliance tracking tools, and documentation management.
• Strong analytical, communication, and coordination skills.

Preferred:

• NISM-Series-III (A) Securities Intermediaries Compliance (Non-Fund) certification.
• Prior experience handling compliance for

  IFSC or GIFT City entities

  .

About the Company:

Raghunandan Money

Website: