Live opening · Posted 2 days ago
Compliance Officer
InvestMentor Securities Limited · Ahmedabad, Gujarat, India (On-site)
JobBeeper subscribers received an alert for this role.
At a glance
The key details from the original listing.
CompanyInvestMentor Securities Limited
LocationAhmedabad, Gujarat, India (On-site)
Work modeNo
Source
Linkedin
ListedPosted 2 days ago
Your early-applicant advantage
Live timing from JobBeeper.
6 min
from Linkedin publishing this role to us finding it
2 min
median time from a role going live to a subscriber being told
6 hours
subscribers had this role before this page existed
58,510
roles found in the last 24 hours — the newest are not on this site yet
About the role
Description supplied by the original job listing.
About the job
We are looking for an experienced Compliance professional with strong knowledge of SEBI, NSE, BSE, Depository regulations & Research Analyst regulation.Key ResponsibilitiesManage SEBI, Exchange and Depository compliance requirements.
Liaise with NSE, BSE, SEBI and Depositories.
Handle regulatory inspections, internal audits and system audits.
Interpret and implement SEBI/Exchange circulars.
Manage KYC compliance and regulatory monitoring.
Handle investor complaints, IGRP and arbitration matters.
Prepare and submit regulatory reports, annual returns and compliance certificates.
Manage Enhanced Supervision, RBS, Net-worth, Holding, Client Funds and other Exchange submissions.
Coordinate Cyber Security & Cyber Resilience audits.
Review and update compliance policies, procedures, forms and website disclosures.
Monitor high-risk clients and identify unusual activity.
Prepare compliance MIS and status reports.
· Handle SEBI Research Analyst compliance, including disclosures, advertisements, research reports and regulatory requirements.Required Qualifications2+ years of relevant experience in Stock Broking / Securities compliance.
Strong knowledge of SEBI, NSE, BSE and Depository regulations.
Experience handling NSE/BSE/SEBI inspections is preferred.
Good communication, analytical and documentation skills.
Ability to work in a fast-paced environment.
Work arrangement
No
More openings worth a look
Recently tracked roles with full details and direct application links.
Good roles move before most people even see them.
Tell JobBeeper what you want and get fresh matches delivered in minutes.
Start your free trial →