We Are Hiring | Compliance OfficerCompany: OnePaper Research Analysts Pvt. Ltd.

OnePaper is looking for an experienced and detail-oriented Compliance Officer to join our team in Bangalore.

The selected candidate will serve as the firm's designated Compliance Officer before SEBI, BSE and ODR institutions, taking ownership of regulatory compliance, investor grievance redressal, regulatory reporting and internal compliance processes.

Job Details

- Position: Compliance Officer
- Company: OnePaper Research Analysts Pvt. Ltd.
- Location: JP Nagar, Bangalore
- Work Mode: Work From Office (On-site)
- Employment Type: Full-Time
- Experience: 3–6 Years
- Salary: Up to ₹60,000 per month (based on interview performance, relevant experience and expertise)

About OnePaperOnePaper is a SEBI-registered Research Analyst firm in Bangalore, serving retail clients since 2021. Research is delivered through daily and monthly product-wise reports, and every client touchpoint — agreements, invoices, disclosures and reports — carries regulatory obligations. We are looking for a skilled who can independently manage the firm's compliance function and ensure adherence to applicable SEBI regulations and regulatory requirements.

Key Responsibilities1. Investor Grievance Redressal

- Own Level 2 of the complaints escalation process and call every escalated complainant within 48 hours of escalation.
- Take ownership of complaints unresolved after Senior Management review (Level 4) and drive them to closure.
- Resolve complaints within SEBI timelines on SCORES, SmartODR and empanelled ODR institutions (Pre-Solv, Webnyay).
- Review daily complaints trackers and EOD status and flag complaints ageing at any level.
- Handle legal notices from clients in coordination with external counsel.
- Prepare monthly complaint data for website disclosure.

2. Regulatory Reporting & Filings

- File periodic and event-based reports with BSE (RAASB) and SEBI on time.
- Coordinate annual compliance audits and close audit observations.
- Maintain the firm's details on SCORES, SmartODR,



ODR portals, BSE and SHe-Box (POSH) portal.
- Maintain the regulatory calendar and track all compliance deadlines.

3. Research & Client Communication Review

- Review daily and monthly research reports for mandatory disclosures, disclaimers and conflict-of-interest statements before release.
- Review marketing materials, social media posts, WhatsApp/Telegram communications and scripts used by the sales team.
- Ensure no assured or guaranteed returns are promised through any communication channel.
- Monitor analysts' personal trading against restrictions and maintain the restricted list.

4. Client Onboarding & Documentation

- Ensure KYC, client risk profiling and suitability requirements are completed and recorded.
- Maintain service agreements, Most Important Terms and Conditions (MITC), investor charter and fee disclosures in line with applicable SEBI circulars.
- Verify fee collection within applicable SEBI limits and permitted modes.
- Ensure invoices, disclosure emails and website disclosure pages remain accurate.

5. Regulatory Correspondence & Proceedings

- Act as the firm's point of contact with SEBI and BSE for queries, inspections and data requests.
- Coordinate replies to show-cause notices, inspection findings and enquiry proceedings with legal counsel and the company secretary.
- Track new SEBI circulars, assess their impact and implement required changes.

6. Policies, Training & Governance

- Maintain compliance policies, including code of conduct, conflict of interest, personal trading, grievance redressal, record retention and AML.
- Conduct quarterly compliance training for support, sales and research teams.




- Maintain regulatory records and audit trails as required under RA Regulations.
- Report compliance status and open risks to management monthly.

Mandatory Skills & Qualifications
- Graduate degree in any discipline; Law, Commerce or Finance preferred.
- Valid NISM certification as specified by SEBI for Compliance Officers of Research Analysts.
- NISM Series XV (Research Analyst) certification, or ability to clear it within 3 months.
- Minimum 3 years of compliance experience at a SEBI-registered intermediary (RA, IA, stockbroker, PMS or AMC).
- Hands-on experience resolving investor complaints through SCORES.
- Clean regulatory record with no past SEBI orders or debarment, and must meet applicable fit-and-proper criteria.
- Strong written English for regulatory correspondence. Working knowledge of Hindi is an advantage.

Preferred Experience & Skills
- Previous Compliance Officer experience at a retail-facing Research Analyst (RA) or Investment Adviser (IA) firm.
- Experience handling SEBI inspections, show-cause notices and enquiry proceedings.
- Working knowledge of SEBI (Research Analysts) Regulations, 2014 and the 2024–25 amendments.
- Familiarity with SmartODR and ODR institutions such as Pre-Solv and Webnyay.
- CS qualification (ACS) or LLB is an added advantage.
- Ability to handle difficult client conversations calmly, professionally and empathetically.
- Working knowledge of Google Sheets/Excel, Zoho CRM/Books and Slack.

Why Join OnePaper?
- Opportunity to take ownership of the firm's compliance function.
- Direct coordination with senior management and regulatory stakeholders.
- Work in a growing SEBI-registered financial research organisation.
- Opportunity to contribute to compliance governance and regulatory processes.

Interested in This Opportunity?If you have hands-on experience in SEBI compliance, regulatory filings and investor grievance management, we would love to hear from you. Apply now and become part of OnePaper!

📌 Compliance Officer (Bengaluru)
🏢 One Paper
📍 Bengaluru