Compliance Officer

Jain International Trade Organisation - India; Ahmedabad District; On-site; INR 600,000 - 1,000,000; Full time

Job summary

SpreadX Securities Pvt. Ltd in Ahmedabad is seeking a mid-level Compliance Officer to ensure regulatory adherence and oversee surveillance of trading activities.

You will prepare statutory reports, review and update compliance filings, and coordinate with regulators during inspections, audits, and reviews to ensure timely resolution of observations.

Responsibilities

• 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.

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.