Principal Compliance Officer

As a Principal Compliance Officer at PlusWealth Capital Management LLP, your role is pivotal in ensuring the firm's full compliance with SEBI and exchange-related regulations. You will work collaboratively with leadership, legal, trading, and operations teams to uphold integrity and operational discipline. **Key Responsibilities:** - Handling Compliance activities w.r.t Stockbroking and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3) - Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendor, Consultants - Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant and Auditors and Investors - Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations scheduled on regular or ad-hoc basis - Handling Ad hoc queries from the Regulators, Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division - Reviewing Email boxes of all the entities mentioned above on a daily basis to ensure important communications are addressed - Dealing with auditors, inspecting officials, stakeholders, vendors, consultants on a regular basis - 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 Organization - 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,