About Us
PlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based t rading algorithms. As a energetic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our vision, we’d love to have you on board.

Role Overview
We are seeking a detail-oriented and proactive Compliance Officer to join our regulatory team. This role is central to ensuring the firm remains fully compliant with SEBI and exchange-related regulations while adapting swiftly to the evolving landscape of financial compliance. You will work closely with the leadership, legal, trading, and operations teams to build a culture of integrity and operational discipline.

Responsibilities:
- Heading Compliance activities w.r.t Stock Broker and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority,



SEZ Operations and AIF (Alternative Investment Fund Cat-3)
- Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendors, Consultants
- Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant and Auditors and Investors (Compliance Calendar of Stock Exchanges can be referred to for detailed tasks alongside monthly compliance calendars issued by consultant for AIF)
- Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations of the organization conducted by SEBI, IFSCA, Exchanges, Depositories etc scheduled on regular or ad-hoc basis.
- Handling Ad hoc queries from the Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC,

📌 Head of Compliance (Uttar Pradesh)
🏢 PlusWealth Group
📍 Uttar Pradesh