Compliance Officer

Ensure the firm complies with all SEBI, stock exchange, and other regulatory requirements.
Prepare and submit periodic reports to regulatory authorities and exchanges.Stay updated on changes in regulations and implement necessary modifications to internal policies and procedures.Monitor trading activities to identify and report unusual or non-compliant transactions.Conduct periodic audits to assess compliance with policies, procedures, and regulatory standards.Oversee KYC (Know Your Customer) and AML (Anti-Money Laundering) processes to ensure accuracy and adherence.Assist in drafting and updating internal compliance policies, procedures, and manuals.Train employees on compliance requirements and industry regulations.Coordinate with different departments to enforce compliance standards.Investigate and report compliance breaches or violations to the appropriate authorities.Provide support during regulatory audits and inspections.Maintain records of incidents, actions taken, and their resolutions.Identify compliance risks and recommend mitigation strategies.Ensure robust controls are in place for sensitive areas like client data protection and insider trading.Support senior management in making informed compliance-related decisions.

Skills and QualificationsShould have a minimum of 3+ years of experience in stock broking complianceShould be able to handle exchange reportings appropriately ( Daily, Weekly, Monthly)Should be able to handle all audit-related matters independently ( Internal and External)Must have handled Exchanges (NSE, BSE, MCX, MCDX, etc.) and SEBI Audits - Must have handled Depository ( NSDL/CDSL) Audits - Sound knowledge of latest regulationsHandled compliance-related inspections/audits of various types of Brokers of the Exchange, including Small & Medium Size stock brokers, proprietary traders, brokers having institutional clients, banks dealing in equity market and big broking houses.Conducting in-depth financial analysis and risk assessment of stock broker to gauge their solvency and to evaluate the potential risk they pose to the system.Drafting of various observations of the queries raised by Exchanges/ SEBI.