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Compliance Officer
IndiaBonds
posted 16d ago
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Job Description
About the Job
- We are seeking an experienced Compliance Officer with a strong background in the broking industry, where compliance and legal functions play a critical role. The ideal candidate will ensure the organization adheres to all regulatory requirements, internal policies, and industry best practices while mitigating risks in a dynamic financial environment.
Job Requirements
- To ensure the compliance with the following regulations:
- SEBI (Stock-Brokers) Regulations, 1992 and circulars/ notifications issued thereunder.
- SEBI (Non-Convertible Securities) Regulations, 2021 to the extent it is applicable to the functioning and operations of Stock-Brokers and/or Online Bond Platform Providers.
- SEBI (Intermediaries) Regulations, 2008
- Prevention of Money Laundering Act, 2002, as applicable for SEBI Registered Intermediaries.
- Drafting, vetting, reviewing and negotiating the legal documents such as:
- Standard Operating Procedures
- Policy framework
- Agreements/ Contracts with third party vendors, distributors and service providers
- Website Terms and Conditions, Privacy Policies and Disclaimers etc.
- Further Responsibilities:
- To ensure compliance with circulars, notifications, guidelines issued by the stock exchanges from time to time.
- To discuss impact analysis of applicable regulatory framework with the management, prepare and implement compliance calendar etc.
- Experience of handling internal, statutory audits inspection from Stock Exchanges and SEBI.
- To liaison with the Stock Exchanges, Clearing Corporations, SEBI and Depositories
Educational Qualifications Skills
- Competency:
- Thorough understanding of financial products. Candidates having a knowledge of fixed income instruments will have an added advantage
- Good communication interpersonal skill
- Well versed with MS office tools (Excel and Word)
- Qualification: CS (preference L.L.B.)
- Industry Preferred: Financial Services (Broking)
What we offer
- Exceptional Healthcare Coverage - In sickness in health, we stand strong with our natives, we got you covered with comprehensive health insurance packages.
- Fast-Paced FinTech Environment - Cutting Edge Fintech will surely foster your personal professional growth.
- Competitive Salary - We value skills talent; and our salaries are calculated based on industry-benchmarked skills and location.
Employment Type: Full Time, Permanent
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