Compliance Officer

Job Title: Compliance Officer (SEBI, BSE, NSE & Trading Compliance)

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Employment Type

Job Summary:

We are seeking an experienced Compliance Officer with extensive knowledge of Securities and Exchange Board of India (SEBI) regulations, as well as compliance requirements for the Bombay Stock Exchange (BSE), National Stock Exchange (NSE), and trading activities. The ideal candidate will play a critical role in ensuring that the organization adheres to all regulatory requirements, maintaining the integrity of trading operations, and managing risk within the compliance framework.

Key Responsibilities:

1. Regulatory Compliance:

• Ensure full compliance with all relevant SEBI regulations, BSE, NSE, and other applicable financial markets laws.
• Monitor changes in relevant laws, rules, and regulations related to securities, trading, and corporate governance to ensure the company remains compliant.
• Interpret, analyze, and advise internal stakeholders on regulatory guidelines and changes.

2. Trading Compliance:

• Ensure compliance with all trading activities, including monitoring of trading systems, orders, and transactions to prevent market manipulation, insider trading, and other non-compliant actions.
• Oversee compliance related to the monitoring of trading patterns and report suspicious activities to regulatory authorities.

3. Policy Development & Implementation:

• Develop, implement, and maintain internal compliance policies and procedures related to SEBI, BSE, NSE, and trading activities.
• Conduct regular training programs to ensure employees understand and follow compliance protocols.

4. Reporting & Documentation:

• Prepare and submit necessary compliance reports to regulatory bodies (SEBI, BSE, NSE) within the prescribed timelines.
• Maintain detailed records of compliance activities and audits for internal and external reviews.
• Liaise with external auditors and regulators during audits and inspections.

5. Risk Management:

• Identify compliance risks and provide recommendations to mitigate those risks.
• Coordinate with relevant departments to address and resolve any compliance issues related to trading, securities, or market activities.

6. Internal Audits and Investigations:

• Conduct periodic internal audits and reviews to ensure adherence to compliance standards.
• Investigate potential compliance breaches and propose corrective actions.

7. Stakeholder Communication:

• Act as the main point of contact for regulatory authorities, including SEBI, BSE, NSE, and other relevant bodies.
• Collaborate with senior management to ensure the company’s operations align with regulatory requirements.

Qualifications and Experience:

• Bachelor's or Master’s degree in Law, Finance, or a related field (preferably with a focus on securities and trading laws)
• Qualified CS Preferred.
• Proven years of experience in compliance roles, specifically within the Indian financial markets, with strong expertise in SEBI regulations, BSE, NSE, and trading compliance.
• In-depth knowledge of securities law, trading practices, and market regulation in India.
• Familiarity with the rules, guidelines, and reporting requirements of SEBI, BSE, NSE, and other financial regulatory authorities.
• Proven experience in identifying compliance risks, implementing controls, and managing internal and external audits.
• Strong analytical, communication, and interpersonal skills.

Skills:

• Expertise in SEBI regulations, stock exchange guidelines (BSE, NSE), and trading compliance.
• Ability to interpret and apply legal and regulatory requirements in a practical manner.
• Excellent attention to detail with strong organizational and time-management skills.

Personal Attributes:

• Strong ethical standards and integrity.
• High level of discretion and confidentiality.
• Proactive problem-solving and critical thinking abilities.
• Ability to work independently and in a team environment.