Compliance Officer

Location:

Mumbai

Experience:

Minimum 2 years

Salary Range:

Up to ₹12 LPA

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.

- Solid 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.

Skills: licensing,compliance,compliance management,adherence,management

📌 Compliance Officer (Broking Industry) (Parel)
🏢 Krwizard
📍 Parel