3.0 - 7.0 years

0 Lacs

gujarat

On-site

Role Overview: As a Compliance Officer, your primary responsibility will be to ensure adherence to regulatory frameworks set by BSE, NSE, INX, IFSC, and SEBI. You will be required to monitor and implement internal control systems to meet statutory and exchange guidelines. Additionally, you will prepare and submit periodic compliance reports, returns, and disclosures to exchanges and regulators. Your role will also involve liaising with exchanges, depositories, and regulatory bodies for all compliance-related matters. Conducting internal audits and inspections to identify compliance gaps and suggest corrective actions will be part of your routine tasks. Moreover, you will be responsible for m...

Posted 1 month ago

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Compliance Officer Raghunandan Capital

1.0 - 3.0 years

3 - 5 Lacs

ahmedabad

Work from Office

Job Description: We are looking for an experienced Compliance Officer to ensure that the company operates in full compliance with all regulatory requirements laid down by BSE, NSE, INX, IFSC, and SEBI . The ideal candidate will have strong knowledge of exchange compliances and hands-on experience managing audits, filings, and internal controls for a stock broking or capital market firm. Key Responsibilities: Ensure compliance with regulatory frameworks of BSE, NSE, INX, IFSC, and SEBI . Monitor and implement internal control systems to meet statutory and exchange guidelines. Prepare and submit periodic compliance reports, returns, and disclosures to exchanges and regulators. Liaise with exch...

Posted 1 month ago

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