Compliance Officer

Company Description ANUPAM STOCK BROKING PRIVATE LIMITED is a financial services company headquartered at Corporate Arena on D. P. Piramal Road in Goregaon (West), Mumbai, Maharashtra, India. The firm operates in the stock broking and broader financial services domain, serving a diverse client base within India’s dynamic capital markets. Located in one of Mumbai’s key commercial areas, the company offers a professional environment focused on market integrity and client service. Team members work closely with market participants and regulators, gaining exposure to evolving regulatory frameworks and financial products. The organization values ethical practices, compliance, and informed decision-making in all aspects of its operations.
Role Description The Compliance Officer will be responsible for overseeing adherence to applicable securities and financial regulations, internal policies, and industry standards on a day-to-day basis. This full-time, on-site role in Mumbai includes monitoring client transactions and firm activities, reviewing documentation and processes, and identifying potential compliance risks. The role involves drafting and updating compliance policies, maintaining regulatory records, and preparing reports and filings required by regulators and exchanges. The Compliance Officer will conduct periodic internal audits, support inspections, and collaborate with operations, trading, and finance teams to resolve compliance issues and implement corrective actions. The position also includes training staff on regulatory requirements, promoting a strong compliance culture, and staying current with changes in laws and guidelines affecting the stock broking business.
Qualifications
Strong skills in Compliance Management and Regulatory Compliance, with the ability to interpret and apply relevant securities and financial regulations.
Excellent Analytical Skills to review transactions, identify risks, and support data-driven compliance decisions.
Effective Communication skills for coordinating with internal teams, regulators, and clients, and for preparing clear reports and documentation.
Foundational knowledge in Finance, capital markets, and stock broking operations to understand the impact of regulatory requirements on business activities.
Bachelor’s degree or higher in Law, Finance, Commerce, Business, or a related field; professional certifications in compliance or securities markets are an advantage.
Experience in a compliance, risk, or regulatory role within financial services or capital markets is preferred.
High attention to detail, integrity, and the ability to work independently as well as in cross-functional teams.
Proficiency in using office productivity tools and basic compliance or reporting software.

Work arrangement
No