Compliance Officer

About the Company

Investment Banking, Institutional Equities, Wealth Management, Retail Broking, and Asset Management

Role Overview:

The incumbent will be responsible for ensuring regulatory compliance across the PMS, Wealth, and Retail Broking businesses, maintaining adherence to SEBI, NSE, BSE, and other regulatory requirements, and implementing best practices within the compliance framework.

Key Responsibilities:

• Ensure adherence to SEBI, NSE, BSE, and other regulatory guidelines related to PMS, Wealth, and Broking operations.
• Liaise with regulators, exchanges, and auditors for compliance audits, inspections, and reporting.
• Oversee preparation and timely submission of regulatory filings and reports.
• Review marketing, client communication, and product documents to ensure regulatory compliance.
• Monitor client onboarding, KYC/AML processes, and ensure adherence to internal and statutory norms.
• Track regulatory updates/circulars and implement necessary policy changes.
• Conduct periodic compliance training and awareness programs for internal teams.
• Handle compliance aspects related to investment products, client portfolios, and advisory services.
• Support the internal audit process and implement corrective actions where necessary.
• Maintain compliance records, documentation, and assist in governance reporting.

Desired Candidate Profile:

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

  5–10 years

  of experience in Compliance within PMS, Wealth, or Broking industry.
• Strong understanding of SEBI regulations, PMS guidelines, and Exchange compliances.
• Excellent communication and coordination skills with a proactive approach.
• Experience in dealing with regulators and handling inspections will be an added advantage.

Key Skills:

Compliance Management | SEBI Regulations | PMS Compliance | Wealth Management | Retail Broking | Regulatory Reporting | KYC/AML | Risk & Governance