Principal Compliance Officer

Company Description

Its Graham and we call it G R H M, Its a tribute to Sir Ronald Graham , who has created the longest ever number existed in this universe. And the number is so big that if you condense the whole matter of this Universe into INK, and start writing that number, INK would be short of , but not the number , that's what GRHM is for you…. We are building a FinTech company and have a classified clear vision.

Role Description

This is a full-time, on-site role located in Gurugram for a Principal Compliance Officer. The Principal Compliance Officer will be responsible for managing compliance activities related to Security Exchanges, ensuring adherence to regulatory requirements, analyzing compliance data, and providing guidance on compliance matters. He/she will work closely with founders first to maintain and improve compliance processes and ensure the organization meets all legal and regulatory obligations with SEBI and other other regulatory body.

Hallmarks

- Thorough knowledge about the Exchanges

- Full compliance with SEBI regulations, including periodic filings, disclosures, and inspections.

- Oversee clients KYC, risk profiling, and documentation as per SEBI guidelines.

- Liaise with SEBI and other regulators for reporting and audits.

- Understanding regulatory changes and assessing applicability .

- Keeping policies across the business up to date and tracking where refreshers are required

- Working on systems, cyber and Internal Audits in terms of regulatory guidelines issued by SEBI and Exchanges, and, regulatory inspections and enquiries

- Reviewing and analyzing exchange circulars and regulations and answering queries of stakeholders

- Reviewing surveillance reports escalated to advisory compliance and following up with relevant stakeholders on outputs

- Working on broader APAC Compliance projects and initiatives as required

- Tracking regulatory deadlines, facilitating submissions

- Expected to possess up-to date knowledge on SEBI and Exchange regulations and guidelines.

- Strong knowledge of SEBI RIA regulations and fiduciary responsibilities.

- Expertise in financial planning, wealth management, and investment advisory.

- Strong client engagement, leadership, and communication skills.

- Proficiency in financial planning tools, CRMs, and portfolio tracking software.

please drop your cv @ ak@grhm.ai