Head Compliance Officer

Job Title: Head Compliance Officer

Job Summary:

The Head – Compliance Officer will oversee and manage the firm’s regulatory and compliance framework, ensuring all operations adhere to SEBI, RBI, exchange, and internal policies. This role is responsible for developing compliance strategies, conducting audits, monitoring regulatory changes, mitigating legal and operational risks, and coordinating with auditors and regulatory authorities during inspections.

Key Responsibilities:

1. Regulatory Compliance

• Ensure the firm complies with SEBI, NSE/BSE/MCX, RBI, AMFI, and other regulatory guidelines.
• Monitor changes in regulations and update internal policies and processes accordingly.
• Implement compliance procedures for stock broking, mutual funds, and wealth management operations.

2. Policy & Process Management

• Develop, update, and implement compliance policies and SOPs across all departments.
• Ensure proper documentation and record-keeping for regulatory audits and inspections.
• Conduct periodic internal compliance reviews and audits.

3. Risk Management & Monitoring

• Identify potential compliance risks in trading, client onboarding, RMS, KYC, DP operations, and financial transactions.
• Monitor transactions for suspicious activities, insider trading risks, or regulatory violations.
• Implement control mechanisms to mitigate operational and regulatory risks.

4. Team Leadership & Training

• Lead and mentor the compliance team, ensuring skill development and awareness of regulations.
• Conduct compliance training for staff and management on regulatory obligations and internal policies.

5. Reporting & Liaison

• Prepare and submit regulatory reports to SEBI, stock exchanges, and other authorities.
• Consult with all auditors and prepare all necessary reports required anywhere.
• Sit with necessary officers during inspections and audits to ensure smooth compliance and reporting.
• Liaise with auditors, regulators, and internal stakeholders for inspections, queries, and investigations.
• Provide regular compliance status reports to senior management and the board.

6. Client & Vendor Compliance

• Ensure proper KYC, AML, and documentation compliance for clients and vendors.
• Oversee anti-money laundering (AML) and know-your-customer (KYC) processes.
• Monitor third-party vendor compliance with regulatory and contractual obligations.

Required Skills & Qualifications:

• Graduate/Postgraduate in Finance, Law, Commerce, or related field.
• 8–15 years of experience in compliance management in stock broking, financial services, or wealth management.
• Strong knowledge of SEBI, RBI, AMFI, exchange regulations, KYC/AML norms, and corporate governance.
• Experience in audit, risk management, regulatory inspections, and policy development.
• Excellent analytical, leadership, and communication skills.
• Integrity, attention to detail, and ability to handle confidential information.