Compliance Officer

Job Description–Compliance Officer

Company: 1FC Securities Pvt. Ltd.

Location: Mumbai (Ghatkopar)

Industry: Stock Market / Broking / Trading

Experience: 7+years

Salary: As per experience

Purpose of the Role

To oversee the Compliance function and ensure adherence to applicable SEBI regulations, Stock Exchange and Depository requirements, statutory obligations, and internal policies. The role involves regulatory monitoring, compliance reporting, risk management, inspections, and coordination with regulatory authorities and senior management.

Key Responsibilities

• Ensure adherence to SEBI, Stock Exchange, and Depository regulations.
• Monitor regulatory updates and implement applicable compliance requirements.
• Manage daily, weekly, monthly, quarterly, half-yearly, and annual compliance activities.
• Prepare and submit regulatory reports and filings within prescribed timelines.
• Coordinate inspections, audits, and regulatory queries.
• Identify compliance risks and ensure timely resolution of observations.
• Maintain compliance records, registers, and documentation.
• Guide internal departments on regulatory requirements and report compliance status to senior management.

Required Skills & Experience

• Strong knowledge of SEBI, Exchange, and Depository compliance.
• Experience in regulatory reporting, audits, and risk management.
• Strong analytical, decision-making, and problem-solving skills.
• Excellent communication and stakeholder management abilities.
• Attention to detail and ability to meet regulatory deadlines.

Coordination Requirements

Coordinate with internal departments, Stock Exchanges, Depositories, SEBI, auditors, regulators, consultants, and senior management to ensure timely completion of compliance activities.

Expected Deliverables

• Timely and accurate regulatory filings and compliance submissions.
• Effective compliance monitoring and risk management.
• Successful coordination of inspections and audits.
• Timely resolution of regulatory observations and queries.

Pay: ₹40,000.00 - ₹50,000.00 per month

Work Location: In person