Compliance officer

Jobitus; Kolkata District; On-site; INR 600,000 - 900,000; Full time

Job summary

Jobitus in Kolkata is seeking a Compliance Officer to ensure adherence to SEBI, stock exchanges and other regulatory requirements. You will prepare reports, monitor regulations, and implement policy changes.

The role covers KYC/AML, audits, training, and coordinating across departments to enforce standards, with a focus on data protection and insider trading controls.

Qualifications

• BCom with NISM preferred.
• 2+ years in a similar role preferred.
• Proficiency in MS Office (Word, Excel, PowerPoint).
• Excellent verbal and written communication skills.
• Ability to multitask and work under pressure.
• Strong organizational and problem-solving skills.

Responsibilities

• Ensure compliance with SEBI, stock exchange, and other regulatory requirements.
• Prepare and submit periodic reports to regulatory authorities and exchanges.
• Stay updated on regulatory changes and modify internal policies accordingly.
• Monitor trading activities to identify and report non-compliant transactions.
• Conduct periodic audits to assess policy and regulatory compliance.
• Oversee KYC and AML processes to ensure accuracy and adherence.
• Assist in drafting/updating internal compliance policies and manuals.
• Train employees on compliance requirements and regulations.
• Coordinate with departments to enforce compliance standards.
• Investigate and report breaches to authorities.
• Support regulatory audits and inspections.
• Maintain records of incidents and resolutions.
• Identify compliance risks and mitigation strategies.
• Ensure robust controls for sensitive areas like data protection and insider trading.
• Support senior management in compliance decisions.

Skills

Verbal communication

Written communication

Multitasking

Organizational skills

Problem-solving

Professional demeanor

Education

B.Com

NISM certification

Tools

Microsoft Office

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.