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 firms practices to ensure that the organizations 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.
