Compliance Officer Broking
Compliance Officer Broking
Posted on :
06-06-2025
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1 Vacancy
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Job Description
We are looking for a Compliance Officer for a leading mid market investment bank with strong practices around M&A PE Capital Markets Institutional Equities Wealth Management Insurance Broking and Portfolio Management Services.
Responsibilities
- Ensuring & implementing compliances under SEBI (Stockbrokers) Regulations SEBI (Research Analysts) Regulations SEBI (Depositories and Participants) Regulations SEBI
- (Prohibition of Insider Trading) Regulations 2015 all other applicable laws & circulars notification rules issued thereunder.
- Ensuring compliance of Wealth Distribution RA DP Broking Distribution and all other products that is offered by the company.
- Liaising with exchange depositories & Auditors for all matters.
- Ensuring periodic & instance based operational reporting/filing relating to Exchange Depository FATCA/CRS etc.
- Review & updating of all applicable policies forms documents in line with exchange & DP guidelines.
- Onboarding of broking/DP clients in line KYC KRA CKYC guidelines.
- Handling concurrent internal/systems/cyber security audits etc. and inspections by Exchange SEBI CDSL etc.
- Drafting Vetting & executing various commercial/ business contracts and agreements
- Handling investor grievance.
- Interacting with the Board of Directors as needed.
- Any other compliance matters assigned from time to time.
- Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects
Qualifications
- Graduate or MBA. CS will be preferred
- Must have Broking / DP Compliance experience.
- Minimum 4-5 years of work experience with Stock Broking & DP entity.
- NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI
- Depository Operations Continuing Professional Education Program.
compliance management,wealth portfolio management,dp,kyc,regulatory knowledge,investor grievance handling,compliance,sebi regulations,wealth distribution,audit handling,contract drafting,broking
Employment Type
Full Time
Key Skills
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