Compliance Officer- Stock Broking Company

job title: Compliance Officer- Stock Broking Company

We are seeking a highly qualified Compliance Officer for a reputed stock broking company. The ideal candidate will be responsible for monitoring and ensuring compliance with legal and regulatory requirements, as well as overseeing internal policies and procedures to ensure they meet industry standards and best practices. The successful candidate should possess knowledge of SEBI regulations and have experience managing risk and compliance for financial services firms. The candidate must comply with other legal requirements from exchanges.
Responsibilities

• Ensuring compliance requirements as per Exchange/SEBI Regulations.
• Ensuring Exchange / SEBI reporting regularly.
• Experience in handling Audit i.e Concurrent and Internal audit.
• Ensuring Enhanced Supervision submission and Funds Settlement.
• Responsible for management of business reporting and any ad hoc reporting from time to time. Proficient knowledge of MS Excel/ppt is a must
  
• Addressing internal queries, data requirements and escalations
• Manage and control overall functioning and supervision of the Depository operations.
• To manage, train and control teams responsible for processing all the above products.
• Manage NSE/BSE/CDSL and SEBI inspection and data submission.
• To be a part of Indias highly disruptive fin-tech wave.
  

Qualifications

• Preferably be a CS/LLB/ MBA
• Have minimum 1 TO 5 years of work experience in stock broking and DP operations

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  Experience of back office/DP-operations work in a Stock broking/Securities firm, Mutual Fund,etc.
• Experience in Equity & F&O - operations, Demat
• Experience in working in Broking Industry.
• Experience in CDSL/NSDL DP System
• Be agile and highly collaborative, communicate impressively
• Strong analytical acumen and problem solving
• Demonstrate deep understanding of stock broking business
• Be highly data-driven and adept at balancing needs with business goals
• Be skilled in building and managing business alliances
• Thrive in a competitive and a result-oriented work environment