DDP & Custody Compliance Officer

We are seeking a highly skilled and experienced Compliance Officer to join our team. The Compliance Officer will be responsible for ensuring that our company complies with all relevant laws, regulations, and guidelines issued by SEBI, RBI, exchanges, and other regulatory authorities.

Roles and Responsibilities:

1. Knowledge:

- SEBI regulations and guidelines, including FPI regulations

- RBI guidelines and regulations, including NDI and ND rules

- Exchange rules and regulations

- Functioning of Designated Depository Participants (DDPs)

- Other applicable laws and regulations

2. _Compliance Monitoring_:

Monitor and ensure compliance with SEBI regulations, RBI guidelines, exchange rules, and other applicable laws and regulations.

3. _Risk Management_:

Identify, assess, and mitigate compliance risks associated with our business activities.

4. _Regulatory Reporting_: Prepare and submit regulatory reports to SEBI, RBI, exchanges, and other regulatory authorities.

5. _Client Onboarding_: Ensure that client onboarding processes comply with regulatory requirements, including KYC and AML.

6. _Internal Audits_: Conduct internal audits to ensure compliance with regulatory requirements and internal policies.

7. Policy Development and Implementation – Develop and implement compliance policies and procedural Manuals

8. _Regulatory Updates_: Stay updated on regulatory changes and ensure that our company's policies and procedures are aligned with these changes.

9. Handle and Manage Regulatory Inspections

10_Training and Awareness_: Provide training and awareness programs for employees on compliance policies and procedures.

Qualidication- MBA/CS/CA