Stock Market Compliance Officer In Dehradun

Key Responsibilities

• Regulatory Compliance & Risk Management
• Stay updated with stock market regulations and implement compliance requirements.
• Develop and maintain compliance policies and procedures.
• Assess compliance risks for new products, services, and business activities, and implement risk mitigation strategies.
• Transaction Monitoring & Internal Controls
• Monitor transactions to identify irregularities, unusual activities, or compliance violations.
• Investigate flagged transactions and resolve compliance issues.
• Establish internal controls and conduct periodic audits to ensure policy compliance and improve control effectiveness.
• Training, Reporting & Documentation
• Conduct compliance training and promote awareness of regulatory requirements across the organization.
• Prepare and submit compliance reports to management and regulatory authorities.
• Maintain accurate records of compliance policies, procedures, investigations, and related documentation.

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