Compliance Officer

Job Designation: Compliance Officer

Experience: 2- 5 years

We're looking for a motivated Compliance Officer to join our dynamic team at Commodity Samachar. If you thrive on resolving compliance issues and have a flair for All things Legal’ this might be the perfect opportunity for you!

Key Responsibilities:

• Ensure compliance with SEBI regulations and guidelines applicable to Research Analysts.
• Prepare and submit regulatory filings and reports in a timely manner.
• Monitor adherence to the SEBI (Research Analyst) Regulations, 2014.
• Develop, update, and enforce internal compliance policies and procedures to align with regulatory requirements.
• Conduct compliance audits and prepare reports for management.
• Oversee day-to-day compliance operations and risk management practices.
• Conduct periodic training for employees on SEBI regulations and compliance best practices.
• Review client agreements, disclosures, and disclaimers for adherence to SEBI norms.
• Vet advertisements and marketing materials to ensure compliance with SEBI's advertising regulations.
• Liaise with SEBI, stock exchanges, and other regulatory authorities as required.
• Support research analysts and management with compliance-related clarifications and updates.

Mandatory Qualifications:

• Certifications:
• NISM Series XV: Research Analyst Certification.
• NISM Series III-A: Securities Intermediaries Compliance Certification.
• Education:
• Postgraduate Degree in MBA (Finance or Compliance preferred) or Law (LLM or related fields).

Required Skills:

• Strong knowledge of SEBI regulations related to Research Analysts and Securities Intermediaries.
• Excellent understanding of compliance monitoring, risk assessment, and regulatory reporting.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills for training and stakeholder engagement.
• Proficiency in compliance management tools and software.

Why Join Commodity Samachar?

• Flexible Working Hours
• Career Growth Opportunities
• 5 Day Working
• Healthy Work Culture
• Corporate Benefits

Apply Now and Join Us in Reshaping the Future of Financial Markets.