Sr Compliance Officer (Broking Industry)

Globelance; Jalgaon; On-site; INR 720,000 - 1,200,000; Full time

Job summary

Globelance in Mumbai is seeking a Compliance Officer to manage regulatory compliance for the broking sector and oversee licensing processes.

The role requires at least 2 years of experience, a finance or law-related degree, and skills in policy development, audits, training, and regulator liaison. You will contribute to a strong compliant culture and interact with regulators as needed.

Qualifications

• 2+ years of experience in a compliance role, preferably within broking or financial services.
• Strong knowledge of the licensing process and regulatory requirements applicable to the broking industry.
• Bachelor's degree in Finance, Law, Business Administration, or a related field.
• Relevant certifications in compliance or regulatory affairs are a plus.

Responsibilities

• Ensure compliance with all relevant laws, regulations, and guidelines set forth by regulatory bodies governing the broking industry.
• Oversee the full licensing process, including application submissions, renewals, and communications with regulatory authorities.
• Develop, implement, and maintain compliance policies and procedures to mitigate risks and ensure adherence to regulatory standards.
• Conduct regular compliance audits and assessments, preparing reports on compliance status and identifying areas for improvement.
• Provide training and support to employees on compliance-related matters, promoting a culture of compliance within the organization.
• Act as the primary point of contact for regulatory authorities, managing communications and facilitating inspections and audits.
• Investigate compliance breaches or incidents, documenting findings and implementing corrective actions as necessary.

Skills

Analytical skills

Attention to detail

Communication skills

Interpersonal skills

Independent & team work

Compliance software

Microsoft Office

Education

Bachelor's degree in Finance, Law, Business Administration, or related field

Tools

Compliance management software

Microsoft Office Suite

Job description

Compliance Officer

Location: Mumbai

Experience: Minimum 2 years

Salary Range: Up to ₹12 LPA

Key Responsibilities

• Regulatory Compliance: Ensure compliance with all relevant laws, regulations, and guidelines set forth by regulatory bodies governing the broking industry.
• Licensing Process: Oversee the full licensing process, including application submissions, renewals, and communications with regulatory authorities.
• Policy Development: Develop, implement, and maintain compliance policies and procedures to mitigate risks and ensure adherence to regulatory standards.
• Monitoring and Reporting: Conduct regular compliance audits and assessments, preparing reports on compliance status and identifying areas for improvement.
• Training and Awareness: Provide training and support to employees on compliance-related matters, promoting a culture of compliance within the organization.
• Liaison with Regulators: Act as the primary point of contact for regulatory authorities, managing communications and facilitating inspections and audits.
• Incident Management: Investigate compliance breaches or incidents, documenting findings and implementing corrective actions as necessary.

Experience & Qualifications

• Minimum of 2 years of experience in a compliance role, preferably within the broking or financial services industry.
• Strong knowledge of the licensing process and regulatory requirements applicable to the broking industry.
• Bachelor's degree in Finance, Law, Business Administration, or a related field.
• Relevant certifications in compliance or regulatory affairs are a plus.

Skills

• Excellent analytical and problem-solving skills.
• Strong attention to detail and organizational abilities.
• Effective communication and interpersonal skills.
• Ability to work independently and collaboratively within a team.
• Proficient in using compliance management software and Microsoft Office Suite.

Why Join Us?

• Opportunity to work in a dynamic and fast-paced environment within the broking industry.
• Competitive salary and benefits package.
• Professional development opportunities and a supportive work culture.

Skills: management,training,adherence,communications,compliance,licensing,broking industry