We are seeking an experienced Compliance Officer with a strong background in the broking industry, where compliance and legal functions play a critical role. The ideal candidate will ensure the organization adheres to all regulatory requirements, internal policies, and industry best practices while mitigating risks in a dynamic financial environment.
Job Requirements
To ensure the compliance with the following regulations:
SEBI (Stock-Brokers) Regulations, 1992 and circulars/ notifications issued thereunder.
SEBI (Non-Convertible Securities) Regulations, 2021 to the extent it is applicable to the functioning and operations of Stock-Brokers and/or Online Bond Platform Providers.
SEBI (Intermediaries) Regulations, 2008
Prevention of Money Laundering Act, 2002, as applicable for SEBI Registered Intermediaries.
Drafting, vetting, reviewing and negotiating the legal documents such as:
Standard Operating Procedures
Policy framework
Agreements/ Contracts with third party vendors, distributors and service providers
Website Terms and Conditions, Privacy Policies and Disclaimers etc.
Further Responsibilities:
To ensure compliance with circulars, notifications, guidelines issued by the stock exchanges from time to time.
To discuss impact analysis of applicable regulatory framework with the management, prepare and implement compliance calendar etc.
Experience of handling internal, statutory audits & inspection from Stock Exchanges and SEBI.
To liaison with the Stock Exchanges, Clearing Corporations, SEBI and Depositories
Educational Qualifications & Skills
Competency:
Thorough understanding of financial products. Candidates having a knowledge of fixed income instruments will have an added advantage
Good communication & interpersonal skill
Well versed with MS office tools (Excel and Word)
Qualification: CS (preference L.L.B.)
Industry Preferred: Financial Services (Broking)
What we offer
Exceptional Healthcare Coverage – In sickness & in health, we stand strong with our natives, we got you covered with comprehensive health insurance packages.
Fast-Paced FinTech Environment – Cutting Edge Fintech will surely foster your personal & professional growth.
Competitive Salary – We value skills & talent; and our salaries are calculated based on industry-benchmarked skills and location.
About the Job
We are seeking an experienced Compliance Officer with a strong background in the broking industry, where compliance and legal functions play a critical role. The ideal candidate will ensure the organization adheres to all regulatory requirements, internal policies, and industry best practices while mitigating risks in a dynamic financial environment.
Job Requirements
To ensure the compliance with the following regulations:
SEBI (Stock-Brokers) Regulations, 1992 and circulars/ notifications issued thereunder.
SEBI (Non-Convertible Securities) Regulations, 2021 to the extent it is applicable to the functioning and operations of Stock-Brokers and/or Online Bond Platform Providers.
SEBI (Intermediaries) Regulations, 2008
Prevention of Money Laundering Act, 2002, as applicable for SEBI Registered Intermediaries.
Drafting, vetting, reviewing and negotiating the legal documents such as:
Standard Operating Procedures
Policy framework
Agreements/ Contracts with third party vendors, distributors and service providers
Website Terms and Conditions, Privacy Policies and Disclaimers etc.
Further Responsibilities:
To ensure compliance with circulars, notifications, guidelines issued by the stock exchanges from time to time.
To discuss impact analysis of applicable regulatory framework with the management, prepare and implement compliance calendar etc.
Experience of handling internal, statutory audits & inspection from Stock Exchanges and SEBI.
To liaison with the Stock Exchanges, Clearing Corporations, SEBI and Depositories
What we offer
Exceptional Healthcare Coverage – In sickness & in health, we stand strong with our natives, we got you covered with comprehensive health insurance packages.
Fast-Paced FinTech Environment – Cutting Edge Fintech will surely foster your personal & professional growth.
Competitive Salary – We value skills & talent; and our salaries are calculated based on industry-benchmarked skills and location.
2 weeks ago 
4 to 7 years
Kalina, BKC, Mumbai
Kalina, BKC, Mumbai
Mumbai
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