Industry: Stock Broking / Trading / Financial Services
Experience: Minimum 3 years
Qualification: Company Secretary (CS) with relevant experience
Employment Type: Full-time
Job Summary:
Key Responsibilities:
- Ensure compliance with all applicable regulatory, statutory and legal requirements relevant to the stock broking and trading industry.
- Monitor and ensure compliance with regulations and guidelines issued by SEBI, Stock Exchanges, Depositories and other applicable regulatory authorities.
- Prepare, review and submit periodic compliance reports, returns and filings within prescribed timelines.
- Keep track of regulatory changes and ensure timely implementation of new compliance requirements within the organisation.
- Maintain and update compliance policies, procedures and internal controls.
- Coordinate with internal teams to ensure that operational activities comply with applicable laws, regulations and company policies.
- Conduct periodic compliance reviews and identify potential gaps or areas of risk.
- Support internal and external audits and ensure timely closure of compliance-related observations.
- Maintain proper records, registers and documentation required under applicable laws and regulations.
- Liaise with regulatory authorities, auditors, legal advisors and other external stakeholders when required.
- Provide compliance-related guidance to management and internal teams.
- Assist in the preparation and implementation of governance and compliance frameworks.
- Handle any other legal, secretarial and compliance matters relevant to the organisation.
Required Skills & Qualifications:
- Company Secretary (CS) background is mandatory.
- Minimum 3 years of experience in compliance within a stock broking, trading, securities or financial services organisation.
- Solid knowledge of the regulatory framework governing the stock broking and securities market.
- Good understanding of SEBI regulations, stock exchange compliance requirement