Compliance Officer - BFS - CS/LLB

Compliance Officer

- As the Compliance Officer, you will be responsible for ensuring that the company complies with all applicable SEBI & AMFI's laws and regulations, and industry standards related to stock broking operations, Mutual Fund Operations.

- You will also be responsible for developing and implementing compliance policies and procedures to minimize risk and ensure the smooth operation of the business.

Responsibilities:

- Develop and implement compliance policies and procedures that align with industry standards and regulatory requirements.

- Liasioning with VC Partners and Angel Investors for monthly reports, MIS and updates.

- Liasioning with Exchange and regulators for various matters.

- Monitor regulatory developments and assess the impact on the company's operations.

- Conduct regular audits and reviews of the company's compliance programs to ensure that they are effective and up-to-date.

- Collaborate with the external stakeholders to provide guidance on regulatory requirements and develop strategies for Business.

- Provide training and education to employees on compliance matters and ensure that they understand the company's compliance policies and procedures.

- Investigate and resolve compliance-related issues and concerns raised by employees, customers, or regulators.

- Maintain accurate and up-to-date records of compliance-related activities, including audits, investigations, and training.

- Coordinate and communicate with external auditors and regulatory agencies as necessary.

Requirements:

- Qualified Company Secretary with a degree of Law.

- At least 3-5 years of experience in compliance, preferably in the Capital Market.

- Excellent analytical and problem-solving skills.

- Strong written and verbal communication skills.

- Ability to work independently and as part of a team.

- Attention to detail and a commitment to accuracy.

- Ability to manage multiple priorities and deadlines.

- Strong interpersonal skills and the ability to work effectively with employees