Compliance Officer

Location: Mumbai

Experience: Minimum 2 years

Salary Range: Up to ₹12 LPA

Job Overview

We are seeking a knowledgeable and detail-oriented Compliance Officer to join our team in the broking industry. The ideal candidate will have a minimum of 2 years of experience in compliance roles, with a comprehensive understanding of the full licensing process. This position is crucial for ensuring that our operations adhere to regulatory requirements and internal policies.

Key Responsibilities

- Regulatory Compliance: Ensure compliance with all relevant laws, regulations, and guidelines set forth by regulatory bodies governing the broking industry.
- Licensing Process: Oversee the full licensing process, including application submissions, renewals, and communications with regulatory authorities.
- Policy Development: Develop, implement, and maintain compliance policies and procedures to mitigate risks and ensure adherence to regulatory standards.
- Monitoring and Reporting: Conduct regular compliance audits and assessments, preparing reports on compliance status and identifying areas for improvement.
- Training and Awareness: Provide training and support to employees on compliance-related matters, promoting a culture of compliance within the organization.
- Liaison with Regulators: Act as the primary point of contact for regulatory authorities,



managing communications and facilitating inspections and audits.
- Incident Management: Investigate compliance breaches or incidents, documenting findings and implementing corrective actions as necessary.

Experience & Qualifications

- Minimum of 2 years of experience in a compliance role, preferably within the broking or financial services industry.
- Strong knowledge of the licensing process and regulatory requirements applicable to the broking industry.
- Bachelor's degree in Finance, Law, Business Administration, or a related field.
- Relevant certifications in compliance or regulatory affairs are a plus.

Skills

- Excellent analytical and problem-solving skills.
- Strong attention to detail and organizational abilities.
- Effective communication and interpersonal skills.
- Ability to work independently and collaboratively within a team.
- Proficient in using compliance management software and Microsoft Office Suite.

Why Join Us?

- Opportunity to work in a energetic and fast-paced environment within the broking industry.
- Competitive salary and benefits package.
- Career development opportunities and a supportive work culture.

Pay: ₹700,000.00 - ₹1,200,000.00 per year

Experience

- Compliance management: 2 years (Required)

Location:
- Mumbai, Maharashtra (Mumbai, Mumbai District) (Required)

Work Location: In person

📌 Compliance Officer (Broking Industry) (Mumbai City)
🏢 Al-Fahad
📍 Mumbai City