PlusWealth Capital Management - Compliance Officer

Responsibilities:

- Comprehensive Compliance Management: Handle all compliance activities pertaining to Stock Broker and Depository Participant regulations from SEBI, Stock Exchanges, Depository (CDSL), KRA, CKYC, CERSAI, FIU, IFSCA, MCA, ROC, GIFT Authority, SEZ Operations, and AIF (Alternative Investment Fund Cat-3).

- Stakeholder Coordination: Regularly coordinate with Regulators (SEBI / IFSCA / GIFT Authority), Auditors, Custodian, Tax Consultants, RTA, Investors, Vendors, and Consultants to ensure smooth communication and compliance.

- Periodic Compliance Oversight: Manage and ensure timely completion of Daily, Monthly, Quarterly, Half-yearly, and Annual compliance requirements for the AIF, Stock Broking, and Depository Participant businesses towards relevant regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant, Auditors, and Investors (referencing Stock Exchange Compliance Calendars and AIF consultant-issued monthly calendars).

- Audit and Inspection Management: Ensure the smooth functioning and conduct of all types of Audits, Inspections, and Investigations of the organization conducted by SEBI, IFSCA, Exchanges, Depositories, etc scheduled on regular or ad-hoc basis.

- Regulatory Query Handling: Handle ad hoc queries and requests for information from Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU, as well as Clients / Investors and internal departments (RMS/Trading/Accounts).

- Email Monitoring: Review email inboxes of all relevant entities (regulators, exchanges, etc) on a daily basis to ensure timely addressing of important communications by the appropriate authorities.

- Stakeholder Engagement: Act as a key point of contact for auditors, inspecting officials, stakeholders, vendors, and consultants on a regular basis.

- Supervisory Responsibilities: Oversee, supervise, and potentially perform daily tasks as outlined in the attached task lists for the Compliance and DP departments.

Qualifications:

- Bachelor's or Master's degree in Finance, Law, Business Administration, or a related field.

- Specify the required number of years of experience in compliance within the financial services industry, particularly with Stock Broking, Depository Participant, and AIF regulations.

- Likely 5-10+ years.

- In-depth understanding of the regulatory landscape for Stock Brokers, Depository Participants, and Alternative Investment Funds (Cat-3) in India and potentially within IFSCA/GIFT City.

- Proven experience in managing compliance requirements with SEBI, Stock Exchanges, CDSL, IFSCA, MCA, ROC, and other relevant regulatory bodies.

- Experience in coordinating and managing regulatory audits, inspections, and investigations.

- Excellent communication and interpersonal skills with the ability to effectively interact with regulators, auditors, and internal stakeholders.

- Strong organizational skills, attention to detail, and the ability to manage multiple tasks and deadlines effectively.

- Excellent written and verbal communication skills.

- Strong analytical and problem-solving skills.

- Ability to work independently and take ownership of responsibilities.

- Proficiency in using relevant software and tools for compliance management

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