Compliance Officer

Compliance Officer

Roles and Responsibilities :

• Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.
• Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL.
• Handling inspections :The compliance officer handles SEBI and stock exchange inspections.
• Coordinating with internal departments :The compliance officer coordinates with internal departments to ensure timely submission of data to regulatory bodies.
• Staying updated : The compliance officer stays updated on amendments in SEBI and stock exchange compliance regulations.
• Training employees: The compliance officer organizes regular training sessions for employees to communicate key regulatory changes and updates.
• Managing risk :The compliance officer plays an active role in managing a firm's risk and reducing financial crime.
• Ensuring compliance with company law :The compliance officer ensures compliance with Company Law Board requirements