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Junior Compliance Officer

Pashupati Capital Services (PCS) is SEBI registered stockbroker. We are seeking an experienced Junior Compliance Officer for our Mumbai location.

We are seeking an experienced and highly skilled Junior Compliance Officer for compliance related work to join our dynamic team at Pashupati Capital Services Pvt Ltd. 

Roles and Responsibilities

  • Conducting regular assessments of trading activities to ensure compliance with relevant laws and regulations.
  • Collaborating with cross-functional teams to develop and implement compliance strategies and procedures.
  • Coordinating with auditor and prepare various exchange or SEBI compliances like Internal, System or Cyber audit reports.
  • Coordinating with GIFT IFSC entity to ensure smooth compliance.
  • Monitoring and reporting on changes in regulatory requirements and ensuring our HFT Algo strategies align with evolving compliance standards.
  • Participating in the development of compliance training programs for employees engaged in trading activities.
  • Coordinating with regulatory agencies and responding to inquiries as needed.
  • Contributing to the development and maintenance of compliance documentation and reports
  • Should have good communication and proficient with email drafting.
     

Technical Skills 

  • Should have sound knowledge in Regulatory compliance.
  • Should have knowledge on Auditing.
  • Should be proficient with Compliance reviews.
  • Should know about Securities.
     

Interpersonal Skills

• Excellent problem-solving skills, attention to detail, and the ability to work effectively in a fast-paced, collaborative environment.
• Strong communication skills, with the ability to explain concepts to stakeholders

Qualifications

• 5 yr.+ experience working in a stockbroking company/NSE/BSE.
• Comprehensive knowledge of  Regulatory/SEBI/Exchange  compliance
• Bachelor's or master’s degree in finance related field. (B. Com), (M. Com)
• Preferred certificates in Finance and compliance .

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
Sounds like you

Posted On

16 Jan 2024

Location

806, Dlh Park, Swami Vivekananda Rd, Malad, Adarsh Nagar, Goregaon, Mumbai, Maharashtra 400104

Position

Junior Compliance officer

Experience

5+years