Compliance Officer MNC Broking House

Riverforest Connections Private Limited

Job Location:

Gandhinagar - India

Monthly Salary: Not Disclosed

Posted on: 3 hours ago

Vacancies: 1 Vacancy

Job Summary

Key Responsibilities

Regulatory Compliance: Ensure strict adherence to IFSCA regulations SEBI guidelines and other applicable laws. Stay current with regulatory changes and implement necessary adjustments to policies and procedures.

Policy Development & Implementation: Develop maintain and update internal compliance policies and procedures. Ensure these are effectively communicated and understood by all relevant stakeholders.

Risk Assessment & Monitoring: Conduct regular risk assessments to identify potential compliance issues. Implement monitoring systems to ensure ongoing compliance and promptly address any gaps or issues.

Training & Awareness: Lead training sessions for employees on compliance requirements and best practices. Ensure all staff are aware of and adhere to compliance policies.

Internal Audits: Conduct internal audits to evaluate compliance with regulatory requirements. Identify and address any compliance gaps or issues.

Reporting: Prepare and present regular reports to senior management and regulatory authorities on compliance status and any issues identified. Serve as the primary point of contact for regulatory inquiries and submissions.

Data Management: Maintain accurate and up-to-date records of compliance activities audits and regulatory communications. Ensure data integrity and confidentiality.

Qualifications:

Education & Certification: Qualified Company Secretary from ICSI (Institute of Company Secretaries of India). Additional qualifications such as CAMS ACCA or a relevant law degree are highly desirable.

Experience: Minimum of 5 years of experience in compliance risk management or a related field preferably in the financial services industry. Experience with IFSCA regulations or similar regulatory frameworks is highly desirable.

Skills:

o Strong understanding of financial regulations and compliance requirements.

o Excellent analytical and problem-solving skills.

o Strong attention to detail and ability to manage multiple tasks simultaneously.

o Excellent communication and interpersonal skills.

o Proficiency in MS Office and compliance management software

Required Skills:

Compliance OfficerRegulatory ComplianceIFSCA RegulationsSEBI GuidelinesInternal Compliance

Key Responsibilities Regulatory Compliance: Ensure strict adherence to IFSCA regulations SEBI guidelines and other applicable laws. Stay current with regulatory changes and implement necessary adjustments to policies and procedures. Policy Development & Implementation: Develop maintain and update ...