Compliance Manager
• Implement and manage an effective legal compliance program towards BSE, NSE and SEBI Guidelines, Circulars & Notifications for Broking Industry.
• Implement procedures to comply with regulations of CDSL, NSDL, Depository Participants.
• Develop and review company policies in the above area.
• Handling Client Complaints and issues with respect to regulators, IGRC, etc.
• Handle Arbitration proceedings
• Advise management on the company’s compliance with laws and regulations through detailed reports.
• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
• Assess company operations to determine compliance risk.
• Ensure all employees are educated on the latest regulations and processes.
• Resolve employee concerns about legal compliance
5 - 10 years
Any graduation,
• Implement and manage an effective legal compliance program towards BSE, NSE and SEBI Guidelines, Circulars & Notifications for Broking Industry.
• Implement procedures to comply with regulations of CDSL, NSDL, Depository Participants.
• Develop and review company policies in the above area. Knowledge of IGRC procedures.
• Handling Client Complaints and issues with respect to regulators.
• Advise management on the company’s compliance with laws and regulations through detailed reports.
• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
• Assess company operations to determine compliance risk.
• Ensure all employees are educated on the latest regulations and processes.
• Resolve employee concerns about legal compliance
Communication Skill, Good Writing Skills, Compliant Handling, Handling Auditors, General Legal, SEBI Regulations, BSE Rules, NSE Rules,
INR 9,00,000 - 10,00,000
• NISM Series 3A Certified is mandatory
• Bachelor’s degree in law, finance, business management or a related field.
• Good knowledge of BSE, NSE, SEBI Regulations, Depository
• 5 – 8 years’ proven experience in a Compliance Officer role.
• Exposure to handling Stock Exchange Audit is necessary.
• Should have handled SEBI Inspection.
• Good knowledge of legal requirements and procedures.
• Good at oral and written communication skills.
• Highly-analytical with strong attention to detail.
Our company is searching for a motivated and experienced Compliance Officer to guarantee that our business processes and transactions follow all relevant legal and internal guidelines. Your duties will include reviewing employee work, developing company policies, and responding to policy violations. The ideal candidate will be professional, highly-analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and our industry’s principles