Tip Sons - Compliance Officer - SEBI & Legal

Key Responsibilities:

- Ensure strict compliance with SEBI guidelines and other relevant regulations governing the trading membership.

- Monitor and track changes in legislation and the regulatory environment, and proactively take appropriate action to ensure compliance.

- Conduct periodic reviews to ensure compliance with exchange regulations, SEBI regulations, and Companies Act requirements.

- Assist the legal and compliance team in organizing, preparing agendas for, and recording minutes of board meetings and general meetings.

- Liaise with internal stakeholders to ensure compliance with all legal and regulatory requirements, including responding to queries and providing legal advice when necessary.

- Maintain and update internal compliance documentation and records in accordance with regulatory requirements.

- Assist in the preparation of compliance reports and documentation for regulatory authorities.

Required Qualifications and Skills:

- Minimum of 3-5 years of experience in SEBI compliance and legal compliance in a corporate or financial institution.

- Strong understanding of SEBI guidelines, exchange regulations, and Companies Act.

- Proficient in preparing agendas and recording accurate minutes of meetings, particularly board meetings and general meetings.

- Ability to stay updated on changes in legislation and regulatory environments.

- Excellent communication and interpersonal skills to interact with internal and external stakeholders.

- Strong attention to detail and the ability to manage multiple compliance tasks simultaneously.

- Experience in handling legal documentation and regulatory filings.