Compliance Officer

Gretex Share Broking Limited; Mumbai; In loco; INR 1.500.000 - 2.500.000; Tempo pieno

Descrizione del lavoro

Gretex Share Broking Limited is seeking a Compliance Officer to ensure adherence to regulatory requirements across exchanges (BSE/NSE) and depositories (NSDL), with responsibilities spanning reporting, monitoring, audits, and timely resolution of investor issues. You will manage SEBI SCORES, surveillance alerts, and regulatory filings, coordinate with internal teams, handle circulars, and support audits.

Ideal candidates have 5–8 years in broking/capital markets and relevant certifications

Competenze

• 5–8 years of experience in compliance within broking/capital markets.
• Graduate/Postgraduate in Commerce, Finance, Law, or related field (LLB/MBA preferred).
• NISM certifications (relevant modules per SEBI requirements).
• Certifications in Compliance, Risk Management, or Financial Regulations.

Mansioni

• Regulatory Reporting & Exchange Compliance: timely submissions to BSE/NSE/NSDL and regulators.
• Investor Grievances & SCORES Management: monitor and resolve complaints.
• Surveillance, Alerts & Risk Monitoring: review alerts and report monthly to exchanges.
• Audits, Certifications & Regulatory Filings: coordinate audits and periodic filings.
• Compliance Governance, Circulars & Coordination: implement SEBI/exchange circulars across departments.

Conoscenze

Regulatory reporting

Investor grievances

Surveillance & risk monitoring

Audits & regulatory filings

Compliance governance

Formazione

Graduate in Commerce/Finance/Law

NISM certifications

Compliance/Risk/金融 Regulations certifications

Descrizione del lavoro

The Compliance Officer will be responsible for ensuring adherence to regulatory requirements across exchanges (BSE/NSE), depositories (NSDL), and SEBI. The role involves managing regulatory reporting, monitoring compliance frameworks, handling audits, and ensuring timely resolution of investor complaints and surveillance alerts.

Responsibility Deliverable

• Regulatory Reporting & Exchange Compliance
• Investor Grievances & SCORES Management
• Surveillance, Alerts & Risk Monitoring
• Audits, Certifications & Regulatory Filings
• Compliance Governance, Circulars & Coordination

Tasks & Activities

Role- GSBL- Compliance Officer

Role Definition

The Compliance Officer will be responsible for ensuring adherence to regulatory requirements across exchanges (BSE/NSE), depositories (NSDL), and SEBI. The role involves managing regulatory reporting, monitoring compliance frameworks, handling audits, and ensuring timely resolution of investor complaints and surveillance alerts.

1. Regulatory Reporting & Exchange Compliance

• Manage timely submission of reports to BSE, NSE, NSDL, and other regulatory bodies (e.g. client mapping to AP, MTF declaration, surveillance obligations, SAAS reporting).
• Upload and report Suspicious Transaction Reports (STR), Non-Profit Transaction Reports (NTR), and other mandatory filings or NIL reports.
• Ensure submission of compliance certificates to exchanges and NSDL confirming adherence to regulatory guidelines.
• Handle cyber incident reporting and ensure timely disclosures to regulators.

2. Investor Grievances & SCORES Management

• Monitor and resolve investor complaints through SEBI SCORES and exchange platforms.
• Ensure timely reporting and closure of complaints with NSE, BSE, and NSDL.
• Maintain proper records and ensure minimal escalations and regulatory observations.

3. Surveillance, Alerts & Risk Monitoring

• Review and respond to exchange-generated alerts within defined timelines.
• Conduct internal surveillance and report alerts (or NIL reports) to exchanges on a monthly basis.
• Monitor suspicious transactions and ensure proper escalation and reporting.
• Support implementation of risk and compliance controls across operations.

4. Audits, Certifications & Regulatory Filings

• Coordinate internal, system, cyber, and VAPT audits including appointment of auditors and submission of reports.
• Prepare and submit periodic filings such as Networth Certificates (half-yearly & annual), Financial Statements, Annual Returns, RBS (Risk-Based Supervision), and RAT (Risk Assessment Template).
• Helping Institutional team in preparing and submitting information required by entities for empanelment purposes
• Ensure tracking and submission of NISM certifications and other regulatory documentation.
• Collate data across departments and ensure accurate and timely audit/report submissions.

5. Compliance Governance, Circulars & Coordination

• Review circulars issued by SEBI, exchanges, and depositories; communicate and ensure implementation across departments.
• Conduct inspections of Authorized Persons (APs) and report findings to exchanges.
• Handle regulatory approvals and documentation for structural changes (e.g., director changes, shareholding pattern updates).
• Coordinate with internal teams to ensure compliance adherence and process alignment across functions.

Education

Graduate/Postgraduate in Commerce, Finance, Law, or related field (LLB/MBA preferred).

Experience

5-8 years of experience in compliance within broking/capital markets.

Certification

• NISM certifications (relevant modules as per SEBI requirements)
• Any certification in Compliance, Risk Management, or Financial Regulations

Stipend/ CTC Range

As per industry standards