Job Description and Responsibilities

The ideal candidate has some regulatory compliance experience working for an exchange, a regulatory organization, a Broker-Dealer (BD) or a similar organization. Other acceptable experience would include internal audit, legal, accounting, or other control functions of a financial services firm or regulator.

• Responsible for interacting with various departments within the organization to meet deadlines.
• Must be comfortable working in an automated, hands-on environment.
• Ensuring compliance with regulatory norms of SEBI, Exchanges and Depositories
• Reviewing and verifying transactions/trades to prevent money laundering.
• Implementing systems/ procedures for timely adherence and streamlining the working procedures to enhance Compliance.
• Update and review KYC and account approval guidelines for the company.
• Handling investor grievances.
• Conduct/assist in periodic audits of the firm's practices to ensure that the organization's activities satisfy all pertinent legal and regulatory requirements.
• Compliance with Prevention of Anti Money Laundering norms
• Ensure daily/monthly/quarterly submissions in accordance with regulatory guidelines and processes.

Qualifications:

• 2+ Years of experience working in the compliance department of a large/medium-sized broking house.
• Graduate degree is required.
• Good knowledge about NSE/SEBI Compliances.
• Good understanding of compliance-related reports
• Good communication, oral and written skills.
• Good problem-solving skills
• High proficiency with desktop applications and MS Office suite of products is required.

Company Benefits & Perks: 

• Competitive salary package.
• Performance-based annual bonus (cash and stocks).
• Hybrid working model (3 days office/week).
• Group Medical & Life Insurance.
• Modern offices with free amenities & fully stocked cafeterias.
• Monthly food card & company-paid snacks.
• Hardship/shift allowance with company-provided pickup & drop facility*
• Attractive employee referral bonus.
• Frequent company-sponsored team-building events and outings.

 

* Depending upon the shifts.

**The benefits package is subject to change at the management's discretion.