Principal Compliance Officer

PlusWealth Capital Management LLP; Gandhinagar; On-site; INR 800,000 - 1,200,000; Full time

Job summary

A financial services firm located in Gandhinagar, Gujarat, is seeking a Principal Compliance Officer to ensure compliance with SEBI and exchange regulations. The ideal candidate will have over 4 years of experience in compliance within stock broking or finance and possess strong analytical skills. This role involves coordinating with regulators, managing compliance calendars, and overseeing audits. If you thrive in a dynamic environment and are detail-oriented, we invite you to apply.

Qualifications

• Bachelor's degree in finance, Business Administration, or a related field.
• 4+ years of experience in compliance within Stock broking or finance Organisation.
• Strong understanding of regulatory requirements and exchange circulars.
• Proficiency with financial and compliance software.
• Excellent attention to detail and organizational skills.
• Strong analytical and problem-solving abilities.
• Effective communication skills, both written and verbal.
• Ability to manage multiple tasks and prioritize effectively.

Responsibilities

• Handling Compliance activities with SEBI and exchanges.
• Coordinating with Regulators, Auditors, and Tax Consultants.
• Managing compliance calendars and reports for AIF and Stock Broking.
• Ensuring smooth audits and inspections from regulators.
• Addressing queries from Regulators and stakeholders.
• Managing daily tasks in compliance and DP departments.

Skills

Attention to detail

Analytical skills

Problem-solving

Effective communication

Organizational skills

Education

Bachelor's degree in finance or related field

Tools

Financial compliance software

Job description

PlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based trading algorithms. As a dynamic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our vision, we’d love to have you onboard.

Role Overview

We are seeking a detail-oriented and proactive Principal Compliance Officer to join our regulatory team. This role is central to ensuring the firm remains fully compliant with SEBI and exchange-related regulations while adapting swiftly to the evolving landscape of financial compliance. You will work closely with the leadership, legal, trading, and operations teams to build a culture of integrity and operational discipline.

Responsibilities

• Handling Compliance activities w.r.t Stockbroking and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3)
• Regularly coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendor, Consultants
• Looking after Daily/Monthly/Quarterly/Half yearly/Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant and Auditors and Investors (Compliance Calendar of Stock Exchanges can be referred to for detailed tasks alongside monthly compliance calendars issued by consultant for AIF)
• Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations of the organization conducted by SEBI, IFSCA, Exchanges, Depositories etc scheduled on regular or ad-hoc basis
• Handling Ad hoc queries from the Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division of the organization etc
• Reviewing Email boxes of all the entities mentioned above on daily basis to ensure every important communication gets addressed by the authorities
• Dealing with auditors, inspecting officials, stake holders, vendors, consultants on regular basis
• In addition to the above roles and responsibilities, the person will also overlook / supervise / perform daily tasks as mentioned in attached tasks list of Compliance and DP departments

Qualifications

• Bachelor's degree in finance, Business Administration, or related field.
• 4+ years of experience in compliance within Stock broking or finance Organisation.
• Strong understanding of regulatory requirements and exchange circulars.
• Proficiency with financial and compliance software.
• Excellent attention to detail and organizational skills.
• Strong analytical and problem-solving abilities.
• Effective communication skills, both written and verbal.
• Ability to manage multiple tasks and prioritize effectively.

Good to have

• Certification in Compliance or a related field.
• Experience with CDSL, CAPEX, NSE, and BSE systems.
• NISM Certificate Series 7 (SORM) or Series 8 (Equityivatives)
• Knowledge of Stock market and basic IT terms
• Knowledge of IT processes related to compliance and DP operations.