Compliance Officer - Stock Broking House (3-6 yrs)

Company - Stock Broking Company.

Designation - Compliance Officer.

Reporting - Head of Department.

Location - Mumbai.

Key Responsibilities :

- Regulatory Compliance: Ensure compliance with SEBI, stock exchange rules, and other laws; monitor regulatory changes and submit timely reports.

- Internal Controls: Develop and maintain compliance policies, conduct audits, and assess compliance risks.

- Risk Management: Identify and address compliance risks, ensure controls are in place, and mitigate non-compliance issues.

Key Skills and Qualifications :

- Education: Degree in Law, Finance, Business, or related field; compliance certifications (e.g., NISM) are a plus.

- Experience : 3-5 years as a Compliance Officer, ideally in stock broking or financial services.

Salary Best in Industry.

Interested candidate can contact - Ms. Trupti Malik.