Compliance Officer - Stock Broking

Position Overview

Compliance Officer - Stock Broking

Key Responsibilities

As a Compliance Officer, you will be responsible for a variety of tasks that are essential to maintaining the integrity of our stock broking operations. Your key responsibilities will include:

• Monitoring and ensuring compliance with all relevant regulations set forth by the National Stock Exchange (NSE) and other regulatory bodies.
• Conducting regular audits and assessments to identify potential compliance risks and implementing corrective actions as necessary.
• Developing and maintaining compliance policies and procedures to ensure adherence to industry standards.
• Providing training and guidance to staff on compliance-related matters and fostering a culture of compliance within the organization.
• Preparing and submitting compliance reports to management and regulatory authorities as required.
• Staying updated on changes in regulations and industry best practices to ensure ongoing compliance.
• Collaborating with other departments to ensure that compliance considerations are integrated into business processes.

Qualifications

The ideal candidate for the Compliance Officer position will possess the following qualifications:

• A bachelors degree in finance, business administration, or a related field.
• 2 to 3 years of relevant work experience in compliance within the stock broking or financial services industry.
• Strong knowledge of compliance regulations, particularly those related to the National Stock Exchange (NSE).
• Excellent analytical and problem-solving skills, with a keen attention to detail.
• Strong communication and interpersonal skills, with the ability to work effectively with various stakeholders.
• Proficiency in Microsoft Office Suite and compliance management software.

If you are a proactive individual with a passion for compliance and a desire to contribute to a reputable stock broking firm, we encourage you to apply for this exciting opportunity. Join us in ensuring that our operations remain compliant and uphold the highest standards of integrity.