Compliance Officer

JITO; Ahmedabad District; On-site; INR 600,000 - 900,000; Full time

Job summary

SpreadX Securities Pvt. Ltd in Ahmedabad seeks a Mid Level Compliance Officer to ensure regulatory adherence and manage filings.

The role monitors trading activities, updates policies, coordinates with regulators and auditors, and supports inspections. This is a full-time, permanent, onsite position in Ahmedabad.

Responsibilities

• Ensure compliance with SEBI, stock exchanges, depositories and other statutory requirements.
• Monitor daily trading activities and client transactions to report regulatory violations.
• Prepare, review and submit statutory reports and disclosures on time.
• Develop, implement and update internal compliance policies and procedures.
• Coordinate with regulators, auditors and internal departments during inspections.

Job description

Company & Location

Beeline Capital Advisors Pvt. Ltd, Ahmedabad

Job Type

Full Time Permanent

Work Mode

Onsite

Experience

Mid Level

Travel Requirements

Not Required

Job Title

Compliance Officer

Company

SpreadX Securities Pvt. Ltd

Job Description

• Ensure compliance with regulatory requirements issued by SEBI, Stock Exchanges, Depositories, and other statutory authorities.
• Monitor daily trading activities and client transactions to identify and report regulatory violations or suspicious activities.
• Prepare, review and submit statutory reports, disclosures and compliance filings within prescribed timelines.
• Develop, implement and update internal compliance policies and procedures.
• Coordinate with regulators, auditors and internal departments during inspections, audits and compliance reviews while ensuring timely resolution of observations.