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 current 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