Compliance Officer

We are looking for a detail-oriented and proactive Compliance Officer to ensure adherence to regulatory frameworks and internal policies across our organisation.

Key Responsibilities:

• Ensure full compliance with SEBI guidelines , circulars, and requirements applicable to market intermediaries.
• Monitor updates and changes in relevant laws, regulations, and the regulatory environment , and initiate timely corrective actions.
• Conduct periodic reviews and audits related to trading membership compliance , including Exchange compliances, SEBI compliances, and Companies Act requirements.
• Maintain accurate documentation and regulatory records, ensuring timely filings and submissions.
• Assist in organizing and managing Board Meetings and General Meetings , including preparation of agenda papers, notices, and recording minutes .
• Liaise with regulators, stock exchanges, internal departments, and external consultants when required.

Desired Candidate Profile:

• Strong understanding of securities market regulations and corporate laws.
• Experience in compliance within Broking / Wealth / Financial Services industry preferred.
• Excellent communication, analytical and documentation skills.