Job Description:

Responsibilities:
The candidate will be required to lead the Compliance team of ViewTrade covering Stock Broking business. Maintain oversight of the developments in the Stock Broking regulatory setting to proactively manage the potential regulatory risk/aml risk/kyc risk /ops risk / exposure of affected divisions/departments.
Develop and maintain all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls, including client onboarding, KYC, AML, CIP, BCP, insider and personal account handling, disclosures.
Perform all daily, weekly, monthly and quarterly compliance reviews (including transaction reviews).
Develop and implement necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firm's activities to remain in compliance with all aspects of industry standards (i.e. from sales practices to trading activity).
Implement and maintain the mandated Anti-Money Laundering program covering the Broker/Dealer activities.




Provide Compliance approval of all recent accounts regarding “Know Your Customer” and the firm’s Customer Identification Procedures.
Provide advice and training to the firm's management and employees regarding applicable securities rules, regulations and firm policies.
Demonstrate excellent communication skills, both oral and written. Should have the ability and experience to draft transparent and professional correspondence, policies and procedures and other documents. Must be able to correspond with all regulators and auditors.
Work as liaison to the firm's management and legal counsel to ensure appropriate support if needed for any and all litigation, arbitration, reparation proceedings and all other regulatory, criminal and civil matters revolving around the firm's Broker/Dealer activities.
Demonstrate ability to effectively analyze situations, absorb large amounts of information and apply past

📌 Hiring Compliance Officer For A Leading Fintech Company Gandhinagar
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📍 Gandhinagar