Deadline
Open Deadline
Location
Mumbai, Maharashtra, India.
Salary
Compensation details will be finalized during the interview process with the selected candidate.
Details of the Organization
IndiaBonds are India’s first of its kind platform developed to empower every Indian with fixed-income investments by simplifying the highly complex bond market.
Details of the Job/Internship
IndiaBonds are seeking an experienced Compliance Officer with a strong background in the broking industry, where compliance and legal functions play a critical role.
Role and Responsibilities
- To ensure the compliance with the following regulations:
- SEBI (Stock-Brokers) Regulations, 1992 and circulars/ notifications issued thereunder.
- SEBI (Non-Convertible Securities) Regulations, 2021 to the extent it is applicable to the functioning and operations of Stock-Brokers and/or Online Bond Platform Providers.
- SEBI (Intermediaries) Regulations, 2008.
- Prevention of Money Laundering Act, 2002, as applicable for SEBI Registered Intermediaries.
- Drafting, vetting, reviewing and negotiating the legal documents such as:
- Standard Operating Procedures
- Policy framework
- Agreements/ Contracts with third party vendors, distributors and service providers
- Website Terms and Conditions, Privacy Policies and Disclaimers etc.
- To ensure compliance with circulars, notifications, guidelines issued by the stock exchanges from time to time.
- To discuss impact analysis of applicable regulatory framework with the management, prepare and implement compliance calendar etc.
- Experience of handling internal, statutory audits & inspection from Stock Exchanges and SEBI.
- To liaison with the Stock Exchanges, Clearing Corporations, SEBI and Depositories.
Eligibility
- Thorough understanding of financial products. Candidates having a knowledge of fixed income instruments will have an added advantage.
- Good communication & interpersonal skill.
- Well versed with MS office tools (Excel and Word).
- Qualification: CS (preference L.L.B.).
- Industry Preferred: Financial Services (Broking).
- Experience: 10 to 12 Years.
Salary/Stipend
Compensation details will be finalized during the interview process with the selected candidate.
Type of Opportunity
Fulltime
Country
India
State
Maharashtra
City
Mumbai
Address
Mumbai, Maharashtra, India.
Application and Registration Details
Once you apply, the next steps in the application process will be sent to you via e-mail.
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Contact: [email protected]
Would you like to apply immediately?
Once you apply, the next steps in the application process will be sent to you via e-mail.
