Compliance Officer

Equirus Capital Pvt. Ltd.; Mumbai; On-site; INR 900,000 - 1,300,000; Full time

Job summary

A prominent investment bank in Mumbai is seeking a Compliance Officer to ensure adherence to SEBI regulations and manage compliance across various financial products. The ideal candidate will have 4-5 years of experience in Stock Broking and DP Compliance, along with necessary certifications. Strong communication skills are essential for interacting with stakeholders, including the Board of Directors.

Qualifications

• 4-5 years of work experience with Stock Broking & DP entity.
• NISM III-A Certified and NISM VI Continuing Education Program completed.
• NISM III-A certification is required; CP/DP knowledge a plus.

Responsibilities

• Ensuring compliance under SEBI Regulations.
• Liaising with exchange, depositories & Auditors.
• Managing internal audits and inspections.
• Prepare periodic reporting related to Exchange, Depository, FATCA/CRS, etc.
• Draft, Vet, and execute contracts; handle investor grievances.
• Interact with the Board of Directors on compliance matters.

Skills

Broking / DP Compliance experience

Ability to communicate well at all levels

Understanding of compliance regulations

Education

MBA/CS (preferred)

Graduate & Above

NISM III-A Securities Intermediaries Compliance

NISM VI Depository Operations Continuing Professional Education Program

Job description

Mumbai, Maharashtra, India Career Level: Refer to Job Description for experience details. Education: MBA/PGDM Full time 1 week ago

Salary: Negotiable Positions: 1 No. of Application: 3

Job Views: 11

Job Description:

AboutEquirus

About Equirus Wealth

Equirus is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.

Equirus Wealth is a holistic Wealth Management platform founded in 2018 by a passionate group of seasoned professionals. It was formed with the objective of providing Client Centric, Comprehensive, and Transparent Wealth Management services for Individuals, Families, and Corporates. We specialize in Wealth Management, Mutual Funds, Primary and Secondary Debt, Real Estate, Market Linked Debentures, Alternate Investment Funds, Tax Advisory, Estate Planning, Offshore Products, Unlisted Securities, Portfolio Management Services, Investment Advisory.

This role reports to the Head of Compliance

Jobdescription

Ensuring & implementing compliances under SEBI (Stockbrokers) Regulations, SEBI (Research Analysts) Regulations, SEBI (Depositories and Participants) Regulations, SEBI (Prohibition of Insider Trading) Regulations, 2015, all other applicable laws & circulars, notification, rules issued thereunder.
Ensuring compliance of Wealth Distribution, RA, DP, Broking, Distribution and all other products that is offered by the company.
Liaising with exchange, depositories & Auditors for all matters.
Ensuring periodic & instance based operational reporting/filing relating to Exchange, Depository, FATCA/CRS etc.
Review & updating of all applicable policies, forms, documents in line with exchange & DP guidelines.
Onboarding of broking/DP clients in line KYC, KRA, CKYC guidelines.
Handling concurrent, internal/systems/cyber security audits etc. and inspections by Exchange, SEBI, CDSL etc.
Drafting, Vetting & executing various commercial/ business contracts and agreements
Handling investor grievance.
Interacting with the Board of Directors as needed.
Any other compliance matters assigned from time to time.
Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects

Location(s)
Mumbai

Requirement Specification

(Qualifications)

• Graduate & Above or MBA/CS (preferred)
• Must have Broking / DP Compliance experience.
• Minimum 4-5 years of work experience with Stock Broking & DP entity.
• NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program.