Asst. Compliance Officer

HIRING FOR ASSISTANT COMPLIANCE OFFICER

Job Title: Assistant Compliance Officer
Location: Mumbai, India / Kolkata, India

Experience: 3-5 Years

Education Qualification: Graduate or above (Commerce / Finance / Law preferred)

Language Know: Hindi and English

Job Summary:

We are looking for an Assistant Compliance Officer to support the Compliance Officer in managing regulatory and internal compliance for brokerage operations. The role involves handling daily compliance activities, documentation, and regulatory reporting.

Key Responsibilities:

• Regulatory Reporting: Assist in preparing and submitting compliance reports to RBI and other regulatory bodies.
• Policy Support: Help in the drafting and updating of all policies and procedures in accordance with regulatory updates.
• Compliance Monitoring: Assist in monitoring day-to-day business operations to ensure compliance with legal and regulatory standards.
• Documentation: Maintain accurate records of all compliance-related activities, including audit logs, Minutes of meetings of Board, Committees, etc, and regulatory correspondence.
• Internal Audits: Assist in the coordination and execution of internal audits, and follow up on corrective actions as required.
• Employee Training: Support the Compliance Officer in conducting training sessions for staff on compliance and regulatory issues.
• Risk Identification: Help identify and report any potential risks or non-compliance issues to the Compliance Officer.
• Liaison: Coordinate communication with auditors and regulatory authorities under the direction of the Compliance Officer.

Qualifications:

• Bachelor’s degree in Commerce, Finance & Accounts, Company Secretary or a related field.
• 2–4 years of experience in compliance, audit, or operations (brokerage or financial services preferred)
• Working knowledge of SEBI regulations and exchange compliance
• Understanding of KYC, AML, and client due diligence processes
• Strong organizational and communication skills.
• Detail-oriented with an analytical mindset.
• Good knowledge of MS Excel and compliance documentation
• Ability to work under supervision and take on multiple tasks.

Industry Type: Investment and Trading in Shares & Securities

Employment Type: Full Time

N.B.: Preference would be to the candidates residing with 4-5 km of the office radius.

Job Type: Full-time

Pay: ₹380,000.00 - ₹400,000.00 per year

Work Location: In person