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.
Robust 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