Jobs›Compliance Officer, Ahmedabad

Compliance Officer

InvestMentor Securities LTD · Ahmedabad
PayPay not listed
WhereAhmedabadGujarat
TypeFull time
Posted10 Oct13 days ago, via SimplyHired
Kaam checked
No fee, deposit or pay-to-apply signs
Good spoken and written English expected
Day work
No vehicle or licence needed
Skills they list28 named
Risk monitoringMonitoring regulatory changesCustomer complaint handlingKYC rulesPeriodic MIS report preparationCompliance record maintenanceFinanceStakeholder liaisonSecurity compliance reviewsCompliance audits and assessmentsComplaint handlingCustomer due diligenceRegulatory compliance monitoringAnalysis skillsFinancial regulatory audit coordinationTechnical compliance checksPolicy writingManagement information systemsRegulatory submissionsRegulatory compliance reportingStatus reportingSEBI compliance guidelinesDocumentation reviewInformation security auditingCommunication skillsBankingExperience at securities companiesAudit support
About this job

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

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