Compliance Officer - SEBI

An ideal candidate should have experience of no less than 5 years of working with broking houses, preferably HFT/ algo firms. His/her role will be focused on the execution of Company's Compliance program and some broader APAC Compliance matters.

Collaborating in the execution of the Compliance program:

- Advising stakeholders on the policies and standards expected of the business unit

- Understanding regulatory changes and assessing applicability and impact on the companys business

- Keeping policies across the business up to date and tracking where refreshers are required

- Working on systems, cyber and Internal Audits in terms of regulatory guidelines issued by SEBI and Exchanges, and, regulatory inspections and enquiries

- Reviewing and analyzing exchange circulars and regulations and answering queries of stakeholders

- Reviewing surveillance reports escalated to advisory compliance and following up with relevant stakeholders on outputs

- Working on broader APAC Compliance projects and initiatives as required

- Tracking regulatory deadlines, facilitating submissions

- Expected to possess up to date knowledge on SEBI and Exchange regulations and guidelines