Compliance Officer

Role & responsibilities

The Compliance Officer will be responsible for ensuring adherence to regulatory requirements across exchanges (BSE/NSE), depositories (NSDL), and SEBI. The role involves managing regulatory reporting, monitoring compliance frameworks, handling audits, and ensuring timely resolution of investor complaints and surveillance alerts.

- Regulatory Reporting & Exchange Compliance

- Investor Grievances & SCORES Management

- Surveillance, Alerts & Risk Monitoring

- Audits, Certifications & Regulatory Filings

- Compliance Governance, Circulars & Coordination

1. Regulatory Reporting & Exchange Compliance

• Manage timely submission of reports to BSE, NSE, NSDL, and other regulatory bodies (e.g. client mapping to AP, MTF declaration, surveillance obligations, SAAS reporting).
• Upload and report Suspicious Transaction Reports (STR), Non-Profit Transaction Reports (NTR), and other mandatory filings or NIL reports.
• Ensure submission of compliance certificates to exchanges and NSDL confirming adherence to regulatory guidelines.
• Handle cyber incident reporting and ensure timely disclosures to regulators.

2. Investor Grievances & SCORES Management

• Monitor and resolve investor complaints through SEBI SCORES and exchange platforms.
• Ensure timely reporting and closure of complaints with NSE, BSE, and NSDL.
• Maintain proper records and ensure minimal escalations and regulatory observations.

3. Surveillance, Alerts & Risk Monitoring

• Review and respond to exchange-generated alerts within defined timelines.
• Conduct internal surveillance and report alerts (or NIL reports) to exchanges on a monthly basis.
• Monitor suspicious transactions and ensure proper escalation and reporting.
• Support implementation of risk and compliance controls across operations.

4. Audits, Certifications & Regulatory Filings

• Coordinate internal, system, cyber, and VAPT audits including appointment of auditors and submission of reports.
• Prepare and submit periodic filings such as Networth Certificates (half-yearly & annual), Financial Statements, Annual Returns, RBS (Risk-Based Supervision), and RAT (Risk Assessment Template).
• Helping Institutional team in preparing and submitting information required by entities for empanelment purposes
• Ensure tracking and submission of NISM certifications and other regulatory documentation.
• Collate data across departments and ensure accurate and timely audit/report submissions.

5. Compliance Governance, Circulars & Coordination

• Review circulars issued by SEBI, exchanges, and depositories; communicate and ensure implementation across departments.
• Conduct inspections of Authorized Persons (APs) and report findings to exchanges.
• Handle regulatory approvals and documentation for structural changes (e.g., director changes, shareholding pattern updates).
• Coordinate with internal teams to ensure compliance adherence and process alignment across functions.