Complaince Officer

Job TitleCompliance Officer – Share Market / Broking Operations

Job Summary:

The Compliance Officer is responsible for ensuring that all activities related to stock market operations, trading, demat accounts, and client transactions comply with regulatory requirements, internal policies, and legal standards. The role involves monitoring compliance procedures, handling audits, reporting suspicious activities, and coordinating with regulatory authorities.

• Key ResponsibilitiesEnsure compliance with regulations issued by Securities and Exchange Board of India, stock exchanges, and depositories.
• Monitor trading activities and identify irregular or suspicious transactions.
• Maintain and update compliance records, reports, and documentation.
• Conduct internal audits and compliance checks for trading and operational processes.
• Handle KYC, AML, and client onboarding compliance procedures.
• Prepare and submit regulatory reports within deadlines.
• Coordinate with auditors, regulators, and internal departments during inspections.
• Train employees on compliance policies and regulatory updates.
• Ensure adherence to risk management and operational control procedures.
• Investigate compliance breaches and recommend corrective actions.
• Required SkillsKnowledge of stock market operations and trading processes
• Understanding of SEBI regulations, KYC, AML, and compliance standards
• Strong analytical and problem-solving skills
• Attention to detail and accuracy
• Good communication and documentation skills
• Ability to handle confidential information responsibly
• Familiarity with trading platforms and compliance software