We are looking for a detail-oriented and proactive Compliance Officer to ensure adherence to regulatory frameworks and internal policies across our organisation.
Key Responsibilities:
- Ensure full compliance with SEBI guidelines, circulars, and requirements applicable to market intermediaries.
- Monitor updates and changes in relevant laws, regulations, and the regulatory environment, and initiate timely corrective actions.
- Conduct periodic reviews and audits related to trading membership compliance, including Exchange compliances, SEBI compliances, and Companies Act requirements.
- Maintain accurate documentation and regulatory records, ensuring timely filings and submissions.
- Assist in organizing and managing Board Meetings and General Meetings, including preparation of agenda papers, notices, and recording minutes.
- Liaise with regulators, stock exchanges, internal departments, and external consultants when required.
Desired Candidate Profile:
- Strong understanding of securities market regulations and corporate laws.
- Experience in compliance within Broking / Wealth / Financial Services industry preferred.
- Excellent communication, analytical and documentation skills.
