Stock Market Compliance Officer

Job content

As a Stock Market Compliance Officer, your primary responsibility is to ensure that all activities within the stock market adhere to regulatory guidelines, internal policies, and industry standards. You will be tasked with monitoring transactions, evaluating risks, and implementing compliance procedures to maintain the integrity and legality of operations within the stock market.

Key Responsibilities:

Regulatory Compliance:

Stay updated with relevant laws, regulations, and guidelines pertaining to the stock market.

Interpret and implement regulatory requirements set forth by governing bodies such as the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other relevant regulatory authorities.

Develop and maintain compliance policies and procedures in accordance with regulatory requirements.

Transaction Monitoring:

Conduct regular monitoring of transactions to identify any irregularities, unusual activities, or potential violations of compliance policies.

Investigate flagged transactions and take appropriate actions to address any compliance issues.

Risk Assessment:

• Assess the compliance risks associated with new products, services, or business activities within the stock market.
• Identify potential areas of non-compliance and develop strategies to mitigate risks effectively.

Training and Education:

• Provide training and education to employees regarding compliance policies, procedures, and regulatory requirements.
• Promote a culture of compliance within the organization by raising awareness and fostering a strong understanding of regulatory obligations.

Reporting and Documentation:

• Prepare and submit regular reports to management and regulatory authorities regarding compliance activities, issues, and resolutions.
• Maintain accurate records of compliance-related documentation, including policies, procedures, and investigations.

Internal Controls:

• Establish and enforce internal controls to ensure adherence to compliance policies and procedures.
• Conduct periodic audits and assessments to evaluate the effectiveness of internal controls and identify areas for improvement.

Job Types: Full-time, Permanent

Pay: ₹20,000.00 - ₹40,000.00 per month

Benefits:

• Health insurance
• Provident Fund

Schedule:

• Day shift
• Morning shift

Supplemental pay types:

• Performance bonus
• Yearly bonus

Work Location: In person