Compliance Officer

Role Overview: As a Compliance Officer, your primary responsibility will be to ensure adherence to regulatory frameworks set by BSE, NSE, INX, IFSC, and SEBI. You will be required to monitor and implement internal control systems to meet statutory and exchange guidelines. Additionally, you will prepare and submit periodic compliance reports, returns, and disclosures to exchanges and regulators. Your role will also involve liaising with exchanges, depositories, and regulatory bodies for all compliance-related matters. Conducting internal audits and inspections to identify compliance gaps and suggest corrective actions will be part of your routine tasks. Moreover, you will be responsible for maintaining updated records of circulars, notifications, and amendments from SEBI and exchanges. Overseeing KYC, AML, and client onboarding procedures as per exchange and regulatory norms will also be within your purview. Guiding internal teams regarding compliance procedures and regulatory updates and handling queries or inspections from regulatory authorities will be essential aspects of your role. 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. Qualification Required: - 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.,