Compliance Officer - Broking & PMS

YourMoneyWise; Bengaluru; On-site; INR 1,200,000 - 1,600,000; Full time

Job summary

YourMoneyWise in Bengaluru, India, seeks a senior compliance professional to oversee regulatory obligations for stockbrokers and PMS, including SEBI, PMLA, and related laws.

You will develop robust compliance frameworks, implement internal audit processes, and provide practical guidance to business teams to ensure strict adherence.

The role requires a law degree or equivalent, extensive regulatory experience, and a deep understanding of financial services compliance.

Qualifications

• Law degree or professional qualification in Compliance/Secretarial practices.
• Extensive experience in regulatory compliance for stockbrokers/PMS.
• In-depth knowledge of SEBI regulations (DP, IA, RA, PMS, Broking).
• Ability to interpret complex regulations and provide practical advice.

Responsibilities

• Ensure adherence to SEBI regulations, PMLA, and other relevant laws for broking and portfolio management services.
• Develop and implement robust compliance frameworks and conduct internal audits.

Education

Law degree or compliance qualification

Job description

Description

Ensure adherence to SEBI regulations, PMLA, and other relevant laws for broking and portfolio management services. Develop and implement robust compliance frameworks and conduct internal audits.

Requirements

• Law degree or professional qualification in Compliance/Secretarial practices.
• Extensive experience in regulatory compliance for stockbrokers/PMS.
• In-depth knowledge of SEBI regulations (DP, IA, RA, PMS, Broking).
• Ability to interpret complex regulations and provide practical advice.