Compliance Officer

Zuari Management Services Limited; New Delhi; Sur place; INR 4 000 000 - 7 000 000; Plein temps

Résumé du poste

Zuari Finserv Limited (ZFL) is seeking a seasoned Compliance Officer to oversee all regulatory matters related to RTA and broking activities. The role requires in-depth knowledge of SEBI regulations and the ability to implement robust compliance programs across the organization.

The candidate will monitor regulatory changes, coordinate with exchanges and NSDL/CDSL, and lead risk assessment efforts. A strong background in financial services compliance and leadership is essential.

Qualifications

• Bachelor’s degree in commerce/finance/law or related field is essential.
• mba or master’s degree in finance is preferred.
• Minimum 15 years in a compliance role within financial services with SEBI exposure.

Responsabilités

• Monitor and interpret SEBI regulations and guidelines.
• Ensure compliance with NSDL/CDSL and stock exchange requirements.
• Develop SOPs and strengthen internal controls.
• Coordinate regulatory reporting, audits, and inspections.
• Provide staff training on SEBI policies and regulatory changes.

Connaissances

Strategic Leadership

Communication & Interpersonal

Compliance Monitoring

Strategic Planning

Formation

Bachelor’s degree in commerce/finance/law

MBA in Finance / Master’s degree

Description du poste

Job Details

Job Code

Job Title

Compliance Officer

Impact level

As per progression chart

Business Unit

Zuari Finserv Limited (ZFL)

Department

Operations

Location

New Delhi

Reporting to

Whole Time Director, ZFL

No. of Direct Reports

2 - 3

Span of Control

Job family

Functional Leader

Job Summary

The role involves overseeing and managing all Compliance and Regulatory matters related to RTA & broking activities of ZFL. The Compliance Officer will possess a deep understanding of SEBI regulations, guidelines, and best practices. The role is critical in ensuring that ZFL operates in full compliance with applicable laws and regulations.

Perspective

Key Responsibilities

Compliance and Control

1. Compliance

• a. Continuously monitor and interpret SEBI regulations and guidelines.
• b. Monitoring and ensuring Compliance of circulars issued by various regulators like SEBI, RBI and issued by stock exchanges like NSE, BSE, MCX; also, of regulations issued by NSDL/CDSL related to RTA & broking operations.
• c. Ensuring compliance related to regulatory requirements with NSDL/ CDSL/ stock exchanges.
• d. Ensure that Zuari Finserv Limited complies with all applicable rules and requirements.

2. Controls

• a. Develop standard operating procedures (SOP) and ensure its strict adherence.
• b. Strengthen Internal Control system and processes.
• c. Promptly address any compliance issues.
• d. Ensure and monitor proper analysis of alerts received from NSDL/CDSL and exchanges and timely closure of same with proper justification.

Risk Assessment

1. Risk Assessment

• a. Convene Risk Management process in the Company.
• b. Develop standard operating procedures (SOP) and ensure its strict adherence.
• c. Conduct regular risk assessments to identify potential compliance risks
• d. Recommend corrective actions and mitigation measures as necessary.
• e. Advise senior management on emerging compliance issues and potential risks.

Documentation and Reporting

1. Documentation

• a. Maintain accurate and up-to-date records of all compliance-related activities and documentation.

2. Reporting

• a. Manage coordination and Exchange submission, sending suitable reply to the regulatory authorities.
• b. Ensure timeliness as per compliance calendar and adhered to various deadlines by regulators, Stock Exchanges, and Depository for filling of all returns, disclosures declarations form etc.,
• c. Prepare and submit reports to SEBI as and when required by regulatory authorities.
• d. Report the suspicious transaction to FIU/NSDL/CDSL/Stock exchange.

Audits and Investigations

1. Audits and Investigations:

• a. Coordinate and manage all regulatory inspections and audits both internal, external and of all exchanges on regular/periodic basis.
• b. Timely respond to the finding of audit and regulatory investigations of commodity & stock market.
• c. Periodically investigate and address any compliance violations or breaches.

Communication and Training

1. Communication

• a. Send new circulars issued by SEBI / Exchanges, information and important communication to all internal and external stake holders.

2. Training

• b. Provide training to staff members on SEBI compliance policies and procedures.
• c. Ensure every team member and other concerned staff stays updated on changes in SEBI regulations.
• d. Foster a culture of compliance and high standard of ethics in ZFL.

Role Requirements

Qualifications

Essential

Bachelor’s degree in commerce / finance/ law or a related field.

Preferred

MBA in Finance / master’s degree or relevant certification is a plus.

Experience

Minimum 15 years of experience in a Compliance role within the Financial Services industry with a focus on SEBI registered financial services institution.

• - Deep knowledge of SEBI regulations and guidelines pertaining to RTA and Stock broking.
• - Strong analytical, problem-solving, and communication skills.

Knowledge and skills

• Strategic Leadership
• Communication and Interpersonal Relationship
• Compliance Monitoring and Risk Assessment
• Strategic planning

Behavioral Competencies

Competency

Proficiency Level

• Decision Making
• Planning
• Communication
• Networking
• Change Management
• Analytical Thinking
• Strategic Thinking