Compliance Officer VSE Stock Services Limited

6.0 - 10.0 years

0 Lacs

vadodara, gujarat

On-site

The Compliance Officer in Stock Broking & Depository Participant department plays a crucial role in ensuring the company's adherence to regulatory and statutory requirements set by SEBI, Stock Exchanges (NSE, BSE), Depositories (CDSL), and other governing bodies. Acting as a liaison between the organization and regulators, the Compliance Officer focuses on risk mitigation, compliance reporting, and ethical governance. Responsibilities of the Compliance Officer include: - Ensuring regulatory compliance with SEBI, NSE, BSE, CDSL, and PMLA guidelines. - Monitoring daily operations to comply with circulars and directives from regulatory bodies. - Filing periodic regulatory reports such as SEBI Monthly/Quarterly/Annual reports, Exchanges surveillance reports, and Depository participant audit reports. - Maintaining internal policies in line with SEBI Stock Broker & DP Regulations. - Supervising client onboarding, risk profiling, PMLA checks, and AML procedures. - Monitoring client trades for suspicious activities and escalating alerts appropriately. - Facilitating internal audits, mock inspections, and regulatory inspections. - Maintaining statutory registers, records, and communication logs. - Handling client complaints and grievance redressal effectively. - Conducting compliance training for employees and disseminating regulatory circulars. - Reporting compliance updates and risk summaries to the Board of Directors. - Ensuring fair pricing, transparency, and cybersecurity compliance in business processes. - Acting as a point of contact with regulators and responding to regulatory correspondence promptly. Key Skills & Qualifications required for the role: - Educational Qualification: Graduate/Postgraduate in Commerce, Law, or Finance. Preferred: LLB /MBA Finance / Certified Compliance Professional. - Experience: Minimum 5-8 years in compliance roles within Stock Broking / DP operations. - Technical & Functional Skills: Understanding of SEBI regulations, NSE/BSE systems, CDSL platforms, PMLA, AML/CFT, FATCA guidelines, and compliance software/tools. - Behavioural Skills: High integrity, attention to detail, excellent communication, analytical, and problem-solving skills. - Regulatory Mandates: Must be designated as Compliance Officer as per SEBI regulations and report under SEBI (Stock Broker) Regulations and SEBI (DP) Regulations. Must maintain independence from sales, marketing, or trading activities for compliance. This position requires a dedicated individual with a strong regulatory compliance background and the ability to navigate complex regulatory frameworks effectively.,

Posted 1 day ago

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Company Secretary ASA

5.0 - 9.0 years

0 Lacs

ernakulam, kerala

On-site

As a member of our team, you will be responsible for planning, executing, and overseeing various legal, secretarial, and corporate governance activities. This includes handling tasks related to public issues, listing and securities management, corporate restructuring, arbitration and conciliation, financial management, project planning, due diligence, and corporate advisory services. You will also be expected to stay updated on SEBI Act, SCRA, regulations under the Depositories Act of 1996, and provide taxation services. Ensuring compliance with all regulatory requirements will be a key part of your role.,

Posted 3 weeks ago

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Company Secretary - The Institute of Company Secretaries of India Eureka Stock & Share Broking Services Ltd.

2.0 - 6.0 years

0 Lacs

kolkata, west bengal

On-site

Location - Kolkata(West Bengal) Candidate residing in Kolkata should only apply. Salary - Rs. 45,000 /- per month Job Specification- Candidate studied ICSI (The Institute of Company Secretaries of India) and having membership number should only apply. Job description - Timely submission of various forms, reports and other documents to Exchanges/Depositories. Ensuring exchange / DP-related compliance applicable to the Company under SEBI Act, SCRA, Rules, Regulations Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time. Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc. Updating company forms and internal documents in line with applicable stock broking / DP guidelines. Any other compliance matters as assigned from time to time. Job Type: Full-time Schedule: Day shift,

Posted 1 month ago

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Senior Paralegal Sourcegrids

8 - 12 years

5 - 10 Lacs

Pune

Work from Office

Manage the US clients' post judgment collections/recovery efforts which includes preparation of legal documents Filing litigation - initiating a US lawsuit to resolve a legal dispute as per US bar guidelines Required Candidate profile Should have knowledge of USA collections laws Knowledge of US Debt recovery process is preferred Familiarity with the US Collections rules & regulations such as Fair Debt Collection Practice

Posted 3 months ago

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