Compliance Officer

Looking for a highly experienced Senior Compliance Officer to oversee and manage the end-to-end compliance functions of our SEBI-registered Stock Broking firm. Should have strong knowledge of the regulatory framework governing Stock Exchanges, Depositories, and Mutual Fund activities, along with hands-on experience in dealing with regulatory bodies.

Key Responsibilities

1. Regulatory Compliance

• Ensure full compliance with SEBI, Stock Exchanges (NSE/BSE/MSEI), Depositories (NSDL/CDSL) and AMFI/Mutual Fund regulations.
• Track and implement all circulars, guidelines, and regulatory updates.
• Review and update internal policies, manuals, and SOPs in line with regulatory changes.

2. Exchange & Depository Compliance

• Oversee all exchange filings, reporting, and submissions (monthly/quarterly/annual).
• Manage compliance related to client onboarding, KYC, CKYC, PMLA, Risk Profiling, FATCA & CRS.
• Monitor transactions for AML/PMLA red flags and ensure timely reporting through STRs/CTRs where applicable.
• Ensure proper upkeep of depository operations, DP documentation, reconciliations and compliance filings.

3. Mutual Fund Compliance

• Support compliance requirements for Mutual Fund distribution operations.
• Ensure adherence to AMFI code of conduct, EUIN rules, brokerage norms, and reporting requirements.

4. Audits & Inspections

• Coordinate with statutory, internal, concurrent auditors, and regulatory authorities during inspections.
• Prepare data, responses, and ensure closure of audit/inspection observations within deadlines.
• Maintain all necessary registers, logs, compliance records, and audit trails.

Job Types: Full-time, Permanent

Pay: ₹30,000.00 - ₹40,000.00 per month

Work Location: In person