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Compliance Officer

Permanent SolutionMumbai, Maharashtra, India

9 days ago

Job description

Job Responsibilities :

Ensure adherence to SEBI, NSE, BSE, and regulatory guidelines
Prepare and submit compliance reports and filings
Monitor client KYC / AML procedures
Conduct internal audits and manage regulatory inspections
Coordinate with external auditors and exchange authorities

Requirements :

Graduate / Postgraduate in Law, Commerce, or related field

Strong experience in a broking firm's compliance function

Knowledge of SEBI circulars, audits, and reporting systems

High attention to detail and excellent documentation skills

Experience : Minimum 5 years in equity / securities compliance

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Compliance Officer • Mumbai, Maharashtra, India

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