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Compliance Officer - Financial Services
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Job Title: Compliance Officer
Company Name - CapitalSquare Financial Services Private Limited
Location: Mumbai
Reporting To: Senior Management
About the Company:
CapitalSquare Financial Services Private Limited is a dynamic trading member registered with the Bombay Stock Exchange (BSE). We specialize in delivering comprehensive trading solutions while adhering to the highest standards of regulatory compliance. We are committed to maintaining transparency, integrity, and excellence in all our operations to serve our clients better.
Job Description (JD)
Position: Compliance Officer
Department: Compliance & Regulatory Affairs
Industry: Stock Broking / Capital Markets
Reporting To: Managing Director / Board of Directors
1. Role Overview
The Compliance Officer shall be responsible for ensuring that the Stock Broking Firm complies with all applicable provisions of the SEBI Act, 1992, SEBI (Stock Brokers) Regulations, 1992, circulars, guidelines, stock exchange bye-laws, and other applicable laws. The Compliance Officer shall act as a key interface between the firm, SEBI, and the Stock Exchanges on all compliance-related matters.
2. Key Responsibilities
- Ensure ongoing compliance with SEBI regulations, circulars, guidelines, and directives issued from time to time.
- Monitor adherence to Stock Exchange rules, bye-laws, and internal policies of the firm.
- Oversee regulatory filings, periodic returns, disclosures, and reporting to SEBI and Stock Exchanges.
- Handle inspection, audit observations, and ensure timely submission of replies and implementation of corrective actions.
- Advise management on regulatory developments and compliance implications.
- Maintain proper documentation, records, and compliance manuals as prescribed under applicable regulations.
- Act as the principal compliance contact during regulatory inspections and audits.
- Escalate non-compliance issues to senior management / Board, where required.
- Ensure investor grievance redressal mechanisms are functioning effectively.
3. Eligibility Criteria
(a) Certification Requirement
The Compliance Officer must clear the NISM-Series-III A: Securities Intermediaries Compliance (Non-Fund) Certification Examination within one year from the date of employment.
(b) Educational Qualification
The individual should have passed graduation or an equivalent examination from a Government-recognized institution.
(c) Experience Requirement
At the time of appointment, the candidate should possess at least 2 years of prior work experience in banking or financial services, with exposure to one or more of the following functions:
- Audit
- Finance
- Compliance
- Legal
- Operations
- Risk Management
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