Details of the Organization

With over 30 years of industry experience, Wealth First Online is a leading name in providing Smart investment solutions and comprehensive financial advisory services. They are committed to empowering individuals, and businesses to achieve their financial goals through tailored strategies, expert advice, and personalized wealth management solutions.

Details of the Job/Internship

Wealth First Portfolio Managers Ltd is seeking a Compliance Officer with 5+ years of experience in regulatory compliance within the Indian financial sector, based in Ahmedabad, Gujarat.

Role and Responsibilities

• Regulatory Compliance: 
  • Ensure full compliance with all relevant SEBI regulations, BSE, NSE, and other applicable financial markets laws. 
  • Monitor changes in relevant laws, rules, and regulations related to securities, trading, and corporate governance to ensure the company remains compliant. 
  • Interpret, analyze, and advise internal stakeholders on regulatory guidelines and changes. 
• Trading Compliance: 
  • Ensure compliance with all trading activities, including monitoring of trading systems, orders, and transactions to prevent market manipulation, insider trading, and other non-compliant actions. 
  • Oversee compliance related to the monitoring of trading patterns and report suspicious activities to regulatory authorities. 
  • Policy Development & Implementation: 
  • Develop, implement, and maintain internal compliance policies and procedures related to SEBI, BSE, NSE, and trading activities. 
  • Conduct regular training programs to ensure employees understand and follow compliance protocols. 
• Reporting & Documentation: 
  • Prepare and submit necessary compliance reports to regulatory bodies (SEBI, BSE, NSE) within the prescribed timelines. 
  • Maintain detailed records of compliance activities and audits for internal and external reviews. 
  • Liaise with external auditors and regulators during audits and inspections. 
• Risk Management: 
  • Identify compliance risks and provide recommendations to mitigate those risks. 
  • Coordinate with relevant departments to address and resolve any compliance issues related to trading, securities, or market activities. 
• Internal Audits and Investigations: 
  • Conduct periodic internal audits and reviews to ensure adherence to compliance standards. 
  • Investigate potential compliance breaches and propose corrective actions. 
• Stakeholder Communication: 
  • Act as the main point of contact for regulatory authorities, including SEBI, BSE, NSE, and other relevant bodies. 
  • Collaborate with senior management to ensure the company’s operations align with regulatory requirements. 

Eligibility

• Bachelor's or Master’s degree in Law, Finance, or a related field (preferably with a focus on securities and trading laws). 
• 5+ years of experience in compliance roles, specifically within the Indian financial markets, with strong expertise in SEBI regulations, BSE, NSE, and trading compliance. 
• In-depth knowledge of securities law, trading practices, and market regulation in India. 
• Familiarity with the rules, guidelines, and reporting requirements of SEBI, BSE, NSE, and other financial regulatory authorities. 
• Proven experience in identifying compliance risks, implementing controls, and managing internal and external audits. 
• Strong analytical, communication, and interpersonal skills. 
• Expertise in SEBI regulations, stock exchange guidelines (BSE, NSE), and trading compliance. 
• Ability to interpret and apply legal and regulatory requirements in a practical manner. 
• Excellent attention to detail with strong organizational and time-management skills. 
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) and compliance management software. 

Salary/Stipend

Salary details will be finalised during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

State

Gujarat

City

Ahmedabad

Address

Capitol House, 10, Paras- II Near Prahladnagar Garden, off S.G highway , Ahmedabad, Gujarat 380015, IN