Complience Officer

Job Title: Compliance Officer

Department: Compliance & LegalReports To: Head of ComplianceLocation: Connaught Place DelhiEmployment Type: Full-time

Job Summary:

The Compliance Officer ensures that the broking house operates in full compliance with all regulatory requirements as prescribed by SEBI, NSE, BSE, MCX, CDSL/NSDL, and other governing bodies. This role involves monitoring internal policies, regulatory filings, client documentation, trade surveillance, and compliance audits to protect the firm's integrity and client interests.

Key Responsibilities:

Regulatory Compliance:

Ensure adherence to SEBI, NSE, BSE, MCX, and other applicable regulations.

Keep updated with changes in regulatory frameworks and implement necessary changes in operations.

File regulatory reports (SEBI returns, exchange filings) on time.

Audit & Reporting:

Prepare and assist in internal and external audits.

Maintain proper records for inspections by SEBI, Exchanges, and Depositories.

Liaise with auditors and regulators for any inquiries or clarifications.

Risk Management & Surveillance:

Monitor client trades for suspicious activity, insider trading, and AML violations.

Implement controls to detect and prevent market manipulation or front-running.

Generate alerts and investigate red flags.

Internal Policy Implementation:

Draft and update compliance manuals, SOPs, and internal guidelines.

Train staff on compliance protocols and ethical standards.

Conduct regular compliance checks and reviews.

Client Documentation:

Verify and review KYC, account opening forms, and related documentation.

Ensure client onboarding complies with SEBI and exchange norms.

Monitor client risk profiles and maintain updated records.

Liaison & Communication:

Act as a point of contact between the company and regulatory authorities.

Handle client and regulatory complaints related to compliance matters.

Qualifications & Skills:

Bachelor’s degree in Commerce, Finance, Law, or related field.

Minimum 3–5 years of experience in a compliance role within a broking house.

Strong understanding of SEBI and exchange rules and circulars.

Excellent knowledge of AML/KYC norms.

Attention to detail and high ethical standards.

Good communication and documentation skills.

Proficient in MS Office and compliance tools/software.

Job Type: Full-time

Work Location: In person

Speak with the employer
+91 9350882257