Job Description

Opportunity to work with a leading stock broking firm in

Mumbai, Andheri East

.

Experience Required:

?

5+ years of experience as a Compliance Officer in a stock broking firm or financial services company. (Mandatory to have experience in Stock Broking business)

? Proven track record of managing regulatory compliance and dealing with SEBI inspections.

? Hands-on experience in developing compliance frameworks and policies.

Key Responsibilities:

1.

Regulatory Compliance:

? Ensure full compliance with

SEBI regulations

,

stock exchange rules

, and other applicable laws governing the stock broking business.

? Regularly monitor and review changes in SEBI guidelines and circulars, and implement necessary updates in processes and policies.

2.

Internal Audits and Inspections:

? Conduct periodic compliance audits of all business processes, systems, and client dealings.

? Prepare for SEBI, stock exchange, and internal/external audits by ensuring documentation and processes are audit-ready.

? Address audit findings and ensure timely resolution of compliance gaps.

3.

Reporting and Filings:

? Prepare and submit regulatory filings, including returns, disclosures, and reports, to SEBI, exchanges (NSE/BSE), and other regulatory bodies.

? Ensure accuracy and timeliness in reporting requirements, including quarterly compliance reports and investor grievance redressal data.

4.

Policy Development and Implementation:

? Develop, review, and update compliance policies, manuals, and operating procedures in line with SEBI regulations.

? Implement and oversee anti-money laundering (AML) policies, KYC norms, and risk management systems.

5.

Grievance Redressal:

? Act as the point of contact for client complaints and ensure timely resolution as per regulatory guidelines.

? Maintain records of complaints and oversee effective communication with clients and regulators during the resolution process.

6.

Training and Awareness:

? Conduct training sessions for employees on SEBI laws, insider trading regulations, and compliance best practices.

? Build awareness about regulatory changes and compliance expectations across departments.

7.

Surveillance and Monitoring:

? Monitor employee trades, brokerage activities, and potential conflicts of interest to ensure ethical conduct.

? Use surveillance tools to identify unusual trading patterns and ensure compliance with insider trading regulations.

8.

Coordination with Regulators:

? Liaise with SEBI, NSE, BSE, and other regulatory bodies for inspections, clarifications, and regulatory updates.

? Respond promptly to regulatory inquiries and notices while maintaining a professional rapport with regulators.

Key Skills & Competencies:

?

Technical Knowledge:

? Strong understanding of SEBI laws, insider trading regulations, AML guidelines, and stock exchange rules.

? Familiarity with KYC norms, investor protection frameworks, and compliance management tools.

? Experience in handling SEBI inspections and regulatory audits.

?

Soft Skills:

? Strong analytical and problem-solving skills.

? Excellent communication and interpersonal skills to interact with regulators, clients, and internal teams.

? High attention to detail and ability to work under strict deadlines.

Educational Qualifications:

?

Essential

: Bachelor's degree in Commerce, Law, Finance, or related fields.

?

Preferred

: MBA (Finance), CA, or LLB with certifications in compliance or SEBI regulations.

Job Type: Full-time

Pay: ₹1,000,000.00 - ₹1,200,000.00 per year

Application Question(s):

Do you have experience in managing regulatory compliance and dealing with SEBI inspections?
Experience:

Compliance of Stock Broking Business: 4 years (Required)
Work Location: In person