Job Description
Job Title: Compliance Officer - BROKING
Level: Manager/Sr. Manager
Location: GIFT City, Gandhinagar
Key Responsibilities:
Regulatory & Compliance Oversight
- Ensure compliance with International Financial Services Centres Authority (Capital market) / SEBI (Stockbrokers) Regulations, , and relevant exchange circulars (NSE/BSE).
- Monitor adherence to client on-boarding, KYC, CKYC, AML, and FATCA requirements.
Sales & Distribution Compliance
- Review and monitor sales practices, distributor conduct, and incentive structures to ensure regulatory alignment.
- Conduct pre-trade and post-trade compliance checks where required.
- Ensure suitability, appropriateness, and risk profiling norms are followed for clients.
- Review marketing materials, pitch books, product notes, and client communications for compliance.
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