Senior Compliance Officer

Key Responsibilities

• Manage overall compliance with SEBI, exchange, and statutory regulations.
• Monitor trading, dealing, RMS, KYC, and operational compliance.
• Handle exchange filings, regulatory reports, and submissions.
• Plan and conduct Internal, Cyber, and Stock Audits and ensure timely closure of findings.
• Coordinate with SEBI, exchanges, depositories, auditors, and inspection teams.
• Develop and update compliance policies, SOPs, and risk-control frameworks.
• Track regulatory circulars and ensure timely implementation.
• Prepare compliance and audit reports for the CEO/Board.
• Train employees on regulatory requirements and compliance updates.

Required Skills

• Strong knowledge of SEBI regulations, exchange bye-laws, and stock broking compliance.
• Experience in trading compliance and regulatory audits.
• Strong audit coordination, documentation, and reporting skills.
• Excellent communication, leadership, and analytical abilities.
• High integrity and ability to work independently.

Eligibility

• Graduate/Post-Graduate in Law, Finance, Commerce, or related field; CA/CS/Compliance certification preferred.
• Minimum 3 years of compliance experience in a stock broking or financial services company – mandatory.
• Strong knowledge of SEBI, exchange, and depository compliance processes.

Pay: ₹70,000.00 - ₹100,000.00 per month

Work Location: In person