Compliance Officer

About This Role

The Compliance Officer oversees the compliance function, ensuring adherence to SEBI regulations, Stock Exchange and Depository requirements, statutory obligations, and internal policies. The role involves regulatory monitoring, compliance reporting, risk management, inspections, and coordination with regulatory authorities and senior management.

Responsibilities

• Ensure adherence to SEBI, Stock Exchange, and Depository regulations
• Monitor regulatory updates and implement applicable compliance requirements
• Manage daily, weekly, monthly, quarterly, half-yearly, and annual compliance activities
• Prepare and submit regulatory reports and filings within prescribed timelines
• Coordinate inspections, audits, and regulatory queries
• Identify compliance risks and ensure timely resolution of observations
• Maintain compliance records, registers, and documentation
• Guide internal departments on regulatory requirements and report compliance status to senior management

Requirements

• 7+ years of experience
• Strong knowledge of SEBI, Exchange, and Depository compliance
• Experience in regulatory reporting, audits, and risk management
• Strong analytical, decision-making, and problem-solving skills
• Excellent communication and stakeholder management abilities
• Attention to detail and ability to meet regulatory deadlines

Important Details

• Coordination: internal departments, Stock Exchanges, Depositories, SEBI, auditors, regulators, consultants, and senior management
• Expected deliverables: timely and accurate regulatory filings and compliance submissions; effective compliance monitoring and risk management; successful coordination of inspections and audits; timely resolution of regulatory observations and queries

About the Company

1FC Securities Pvt. Ltd. operates in the Stock Market / Broking / Trading industry.