Compliance officer

Recex Pvt Ltd.; Kolkata District; On-site; INR 600,000 - 1,200,000; Full time

Job summary

Recex Pvt Ltd. is seeking an experienced Compliance Officer in India to ensure adherence to SEBI, stock exchange, and other regulatory requirements.

The role involves preparing reports, implementing regulatory changes, monitoring activities for anomalies, and supporting audits. The successful candidate will oversee KYC/AML processes, draft internal policies, train staff, and collaborate with departments to enforce compliance standards.

Qualifications

• BComgraduate with NISM certification preferred
• 2+ years of experience in a similar role is preferred
• Excellent verbal and written communication skills
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint)
• Ability to multitask and work efficiently under pressure
• Strong organizational and problem-solving skills
• Professional appearance and demeanor

Responsibilities

• Ensure the firm complies with all SEBI, stock exchange, and other regulatory requirements.
• Prepare and submit periodic reports to regulatory authorities and exchanges.
• Stay updated on changes in regulations and implement necessary modifications to internal policies and procedures.
• Monitor trading activities to identify and report unusual or non-compliant transactions.
• Conduct periodic audits to assess compliance with policies, procedures, and regulatory standards.
• Oversee KYC (Know Your Customer) and AML (Anti-Money Laudering) processes to ensure accuracy and adherence.
• Assist in drafting and updating internal compliance policies, procedures, and manuals.
• Train employees on compliance requirements and industry regulations.
• Coordinate with different departments to enforce compliance standards.
• Investigate and report compliance breaches or violations to the appropriate authorities.
• Provide support during regulatory audits and inspections.
• Maintain records of incidents, actions taken, and their resolutions.
• Identify compliance risks and recommend mitigation strategies.
• Ensure robust controls are in place for sensitive areas like client data protection and insider trading.
• Support senior management in making informed compliance-related decisions.

Job description

Role Responsibilities:

• Ensure the firm complies with all SEBI, stock exchange, and other regulatory requirements.
• Prepare and submit periodic reports to regulatory authorities and exchanges.
• Stay updated on changes in regulations and implement necessary modifications to internal policies and procedures.
• Monitor trading activities to identify and report unusual or non-compliant transactions.
• Conduct periodic audits to assess compliance with policies, procedures, and regulatory standards.
• Oversee KYC (Know Your Customer) and AML (Anti-Money Laundering) processes to ensure accuracy and adherence.
• Assist in drafting and updating internal compliance policies, procedures, and manuals.
• Train employees on compliance requirements and industry regulations.
• Coordinate with different departments to enforce compliance standards.
• Investigate and report compliance breaches or violations to the appropriate authorities.
• Provide support during regulatory audits and inspections.
• Maintain records of incidents, actions taken, and their resolutions.
• Identify compliance risks and recommend mitigation strategies.
• Ensure robust controls are in place for sensitive areas like client data protection and insider trading.
• Support senior management in making informed compliance-related decisions.

Role Requirements:

• BComgraduate withNISM certification preferred
• 2+years of experience in a similar role is preferred.
• Excellent verbal and written communication skills.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).
• Ability to multitask and work efficiently under pressure.
• Strong organizational and problem-solving skills.
• Professional appearance and demeanor.