Compliance Officer

Tipsons Group

0 years

0 Lacs

ahmedabad gujarat india

Posted:1 day ago| Platform:

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Skills Required

compliance regulations audits trading membership documentation recording communication

Work Mode

On-site

Job Type

Full Time

Job Description

Compliance Officer

Key Responsibilities:

Ensure full compliance with
SEBI guidelines
, circulars, and requirements applicable to market intermediaries.
Monitor updates and changes in relevant
laws, regulations, and the regulatory environment
, and initiate timely corrective actions.
Conduct periodic reviews and audits related to
trading membership compliance
, including
Exchange compliances, SEBI compliances, and Companies Act
requirements.
Maintain accurate documentation and regulatory records, ensuring timely filings and submissions.
Assist in organizing and managing
Board Meetings and General Meetings
, including preparation of agenda papers, notices, and
recording minutes
.
Liaise with regulators, stock exchanges, internal departments, and external consultants when required.

Desired Candidate Profile:

Strong understanding of securities market regulations and corporate laws.
Experience in compliance within
Broking / Wealth / Financial Services
industry preferred.
Excellent communication, analytical and documentation skills.

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