compliance - officer - Kochi, Kerala
1 day ago
Job description
KEY RESPONSIBILITIES
- Ensure continuous compliance with SEBI regulations, circulars and guidelines applicable to Stock Broking, Depository Participant, Research Analyst and Merchant Banking activities.
- Ensure compliance with KYC, AML/CFT and client onboarding requirements.
- Monitor Depository Participant operations, and prepare documents for submissions to NSDL/CDSL.
- Authorised Person registrations/ AP compliances and CTCL activation/modification operations.
- Ensure compliance with Research Analyst regulations, including disclosures, conflict-of-interest management and personal trading controls.
- Ensure compliance with Merchant Banking regulations, including due diligence, disclosures, issue documentation and SEBI filings.
- Monitor and act upon Early Warning System (EWS) alerts, operational risks and compliance deviations.
- Coordinate and support SEBI, Exchange, Depository and internal audits/inspections, including closure of observations.
- Maintain compliance records, policies, SOPs, regulatory filings and Board / Committee compliance reporting.
- Prepare and submit
regulatory filings, certifications, MIS and Board / Committee compliance reports.
Qualifications:-
B.Com/M.Com/MBA Finance – (LLB – preferable)
Experience:-
3–6 years
in compliance within capital markets
Skills & Requirements:-
- Strong knowledge of
SEBI, NSE/BSE/MCX, NSDL/CDSL
regulations. - Experience in handling AP registrations/Terminal activation
/audits and regulatory inspections
preferred. - Strong working knowledge of
MS Excel and MS Word
for preparation of compliance MIS, regulatory reports, audit documentation and correspondence. - Interested candidates in and around Cochin.
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