Compliance Officer

About the job

We are looking for an experienced Compliance professional with strong knowledge of SEBI, NSE, BSE, Depository regulations & Research Analyst regulation.Key Responsibilities

Manage SEBI, Exchange and Depository compliance requirements.

Liaise with NSE, BSE, SEBI and Depositories.

Handle regulatory inspections, internal audits and system audits.

Interpret and implement SEBI/Exchange circulars.

Manage KYC compliance and regulatory monitoring.

Handle investor complaints, IGRP and arbitration matters.

Prepare and submit regulatory reports, annual returns and compliance certificates.

Manage Enhanced Supervision, RBS, Net-worth, Holding, Client Funds and other Exchange submissions.

Coordinate Cyber Security & Cyber Resilience audits.

Review and update compliance policies, procedures, forms and website disclosures.

Monitor high-risk clients and identify unusual activity.

Prepare compliance MIS and status reports.

Handle SEBI Research Analyst compliance, including disclosures, advertisements, research reports and regulatory requirements.Required Qualifications

2+ years of relevant experience in Stock Broking / Securities compliance.

Strong knowledge of SEBI, NSE, BSE and Depository regulations.

Experience handling NSE/BSE/SEBI inspections is preferred.

Good communication, analytical and documentation skills.

Ability to work in a fast-paced environment.

Work Location

In person