Compliance Officer

Job Description : Compliance Officer

Position Overview

We are seeking an experienced and detail-oriented Compliance Officer to manage and oversee all regulatory, legal, and compliance matters in our business. The Compliance Officer will ensure adherence to SEBI, NSE, BSE, CDSL / NSDL, and other statutory requirements while building a strong internal compliance culture.

Key Responsibilities

• Ensure compliance with SEBI, Exchanges (NSE, BSE, MCX, etc.), and Depositories (CDSL / NSDL) regulations.
• Draft, review, and implement internal compliance policies and procedures in line with regulatory updates.
• Monitor day-to-day operational activities to identify potential regulatory risks.
• File periodic reports, returns, and disclosures to SEBI, exchanges, and depositories on time.
• Conduct regular audits, inspections, and reviews of KYC, client onboarding, risk management, surveillance, and trading operations.
• Assist in regulatory inspections, audits, and inquiries by SEBI, exchanges, or statutory bodies.
• Ensure timely dissemination of regulatory circulars and guidelines to relevant teams.
• Conduct compliance training sessions for employees to strengthen adherence to laws and regulations.
• Maintain and update compliance manuals and records in accordance with statutory requirements.
• Report compliance breaches or potential risks to senior management and recommend corrective measures.

Qualifications & Requirements

Key Skills

Reporting Structure

Location

Employment Type

Skills Required

Internal Control, Documentation, Reporting, sebi regulations , Risk Management