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Job Description: Compliance Officer Position Overview We are seeking an experienced and detail-oriented Compliance Officer to manage and oversee all regulatory, legal, and compliance matters in our business. The Compliance Officer will ensure adherence to SEBI, NSE, BSE, CDSL/NSDL, and other statutory requirements while building a strong internal compliance culture. Key Responsibilities - Ensure compliance with SEBI, Exchanges (NSE, BSE, MCX, etc.), and Depositories (CDSL/NSDL) regulations. - Draft, review, and implement internal compliance policies and procedures in line with regulatory updates. - Monitor day-to-day operational activities to identify potential regulatory risks. - File periodic reports, returns, and disclosures to SEBI, exchanges, and depositories on time. - Conduct regular audits, inspections, and reviews of KYC, client onboarding, risk management, surveillance, and trading operations. - Assist in regulatory inspections, audits, and inquiries by SEBI, exchanges, or statutory bodies. - Ensure timely dissemination of regulatory circulars and guidelines to relevant teams. - Conduct compliance training sessions for employees to strengthen adherence to laws and regulations. - Maintain and update compliance manuals and records in accordance with statutory requirements. - Report compliance breaches or potential risks to senior management and recommend corrective measures. Qualifications & Requirements - Graduate in Commerce, Finance, Law, or a related field (postgraduate or professional certifications like CS, CA, or LLB preferred). - Minimum 5–7 years of experience in compliance within stock broking, capital markets, or financial services. - Strong knowledge of SEBI regulations, exchange guidelines, and depository rules. - Familiarity with Anti-Money Laundering (AML), PMLA, and KYC regulations. - Excellent communication, analytical, and problem-solving skills. - Ability to handle regulatory inspections and audits independently. Key Skills - Regulatory & Statutory Compliance - Attention to Detail - Risk Management & Internal Control - Reporting & Documentation - Stakeholder Coordination - Ethics & Integrity Reporting Structure - The Compliance Officer will report directly to the Principal Officer/CEO/Managing Director and coordinate closely with compliance teams at exchanges and regulators. Location - Ranchi - Jharkhand Employment Type - Full-time, On-site