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.

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.

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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.

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Ad hoc queries from the Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division of the organization etc. In addition to the above roles and responsibilities, the person will also overlook / supervising / performing daily tasks as mentioned in the attached tasks list of Compliance and DP departments. Bachelor's degree in finance, Business Administration, or related field. ~10+ years of experience in compliance within Stock broking or finance Organization. ~ Strong understanding of regulatory requirements and exchange circulars. ~ Proficiency with financial and compliance software. ~ Certification in Compliance or related field.

Experience with CDSL, CAPEX, NSE, and BSE systems. Knowledge of Stock market and basic IT terms Knowledge of IT processes related to compliance and DP operations. Competitive compensation and performance-based bonuses. Medical insurance – we've got you and your dependents covered. Catered meals/snacks for 5 working days in the office. Generous paid time off policies.

📌 Legal Compliance Office (Noida)
🏢 PlusWealth Group
📍 Noida