Job Description

Looking for a highly experienced Senior Compliance Officer to oversee and manage the end-to-end compliance functions of our SEBI-registered Stock Broking firm. Should have strong knowledge of the regulatory framework governing Stock Exchanges, Depositories, and Mutual Fund activities, along with hands-on experience in dealing with regulatory bodies.

Key Responsibilities

1. Regulatory Compliance

Ensure full compliance with SEBI, Stock Exchanges (NSE/BSE/MSEI), Depositories (NSDL/CDSL) and AMFI/Mutual Fund regulations. Track and implement all circulars, guidelines, and regulatory updates. Review and update internal policies, manuals, and SOPs in line with regulatory changes.
2. Exchange & Depository Compliance

Oversee all exchange filings, reporting, and submissions (monthly/quarterly/annual). Manage compliance related to client onboarding, KYC, CKYC, PMLA, Risk Profiling, FATCA & CRS. Monitor transactions for AML/PMLA red flags and ensure timely reporting through STRs/CTRs where applicable. Ensure proper upkeep of depository operations, DP documentation, reconciliations and compliance filings.
3. Mutual Fund Compliance

Support compliance requirements for Mutual Fund distribution operations. Ensure adherence to AMFI code of conduct, EUIN rules, brokerage norms, and reporting requirements.
4. Audits & Inspections

Coordinate with statutory, internal, concurrent auditors, and regulatory authorities during inspections. Prepare data, responses, and ensure closure of audit/inspection observations within deadlines. Maintain all necessary registers, logs, compliance records, and audit trails.
Job Types: Full-time, Permanent

Pay: ₹30,000.00 - ₹40,000.00 per month

Work Location: In person