Principal Compliance Officer

About Us

PlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based trading algorithms. As a dynamic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our vision, we’d love to have you onboard.

Role Overview

Compliance Officer

Responsibilities

1)

2)

3)

Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA,Custodian, Fund Accountant, Tax Consultant and Auditors and Investors (Compliance Calendar of Stock Exchanges can be referred to for detailed tasks alongside monthly compliance calendars issued by consultant for AIF)

4)

ad-hoc basis

5)

Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division of the organization etc

6)

important communication gets addressed by the authorities

7)

in addition to the above roles and responsibilities, the person will also overlooking / supervising /performing daily tasks as mentioned in attached tasks list of Compliance and DP departments

Qualifications

• Bachelor's degree in finance, Business Administration, or related field.
• 4+ years of experience in compliance within Stock broking or finance Organisation.
• Strong understanding of regulatory requirements and exchange circulars.
• Proficiency with financial and compliance software.
• Excellent attention to detail and organizational skills.
• Strong analytical and problem-solving abilities.
• Effective communication skills, both written and verbal.
• Ability to manage multiple tasks and prioritize effectively.

Good to have

• Certification in Compliance or a related field.
• Experience with CDSL, CAPEX, NSE, and BSE systems.
• NISM Certificate Series 7 (SORM) or Series 8 (Equity Derivatives)
• Knowledge of Stock market and basic IT terms
• Knowledge of IT processes related to compliance and DP operations.