Principal Compliance Officer

You will be joining PlusWealth Capital Management LLP, a high-frequency trading firm engaged in equities, options, and futures markets. As a Principal Compliance Officer, your role will be crucial in ensuring full compliance with SEBI and exchange regulations, while adapting to the dynamic financial compliance landscape. You will collaborate with leadership, legal, trading, and operations teams to foster a culture of integrity and operational discipline. **Responsibilities:** - Handling compliance activities related to Stockbroking and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations, and AIF (Alternative Investment Fund Cat-3). - Regularly coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendor, Consultants. - Overseeing Daily/ Monthly/ Quarterly/ Half-yearly/ Annual compliances of AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant, Auditors, and Investors. - Ensuring smooth functioning of Audits, Inspections & Investigations conducted by SEBI, IFSCA, Exchanges, Depositories, etc. - Handling Ad hoc queries from Regulators, Investigation/Surveillance Divisions of Exchanges/Depository, KRA, CERSAI, CKYC, FIU, Clients/Investors, and RMS/Trading/Accounts division. - Reviewing Email boxes daily to ensure timely addressing of important communications. - Interacting with auditors, inspecting officials, stakeholders, vendors, consultants regularly. - Supervising and performing daily tasks listed in Compliance and DP departments' tasks. **Qualifications:** - Bachelor's degree in finance, Business Administration, or related field. - 4+ years of compliance experience within Stockbroking or finance Organization. - Strong understanding of regulatory requirements and exchange circulars. - Proficiency with financial and compliance software. - Excellent attention to detail and organizational skills. - Strong analytical and problem-solving abilities. - Effective communication skills, both written and verbal. - Ability to manage multiple tasks and prioritize effectively. **Good to have:** - Certification in Compliance or a related field. - Experience with CDSL, CAPEX, NSE, and BSE systems. - NISM Certificate Series 7 (SORM) or Series 8 (Equity Derivatives). - Knowledge of Stock market and basic IT terms. - Knowledge of IT processes related to compliance and DP operations. You will be joining PlusWealth Capital Management LLP, a high-frequency trading firm engaged in equities, options, and futures markets. As a Principal Compliance Officer, your role will be crucial in ensuring full compliance with SEBI and exchange regulations, while adapting to the dynamic financial compliance landscape. You will collaborate with leadership, legal, trading, and operations teams to foster a culture of integrity and operational discipline. **Responsibilities:** - Handling compliance activities related to Stockbroking and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations, and AIF (Alternative Investment Fund Cat-3). - Regularly coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendor, Consultants. - Overseeing Daily/ Monthly/ Quarterly/ Half-yearly/ Annual compliances of AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant, Auditors, and Investors. - Ensuring smooth functioning of Audits, Inspections & Investigations conducted by SEBI, IFSCA, Exchanges, Depositories, etc. - Handling Ad hoc queries from Regulators, Investigation/Surveillance Divisions of Exchanges/Depository, KRA, CERSAI, CKYC, FIU, Clients/Investors, and RMS/Trading/Accounts division. - Reviewing Email boxes daily to ensure timely addressing of important communications. - Interacting with auditors, inspecting officials, stakeholders, vendors, consultants regularly. - Supervising and performing daily tasks listed in Compliance and DP departments' tasks. **Qualifications:** - Bachelor's degree in finance, Business Administration, or related field. - 4+ years of compliance experience within Stockbroking or finance Organization. - Strong understanding of regulatory requirements and exchange circulars. - Proficiency with financial and compliance software. - Excellent attention to detail and organizational skills. - Strong analytical and problem-solving abilities. - Effective communication skills, both written and verbal. - Ability to manage multiple tasks and prioritize effectively. **Good to have:** - Certification in Compliance or a related field. - Experience with CDSL, CAPEX, NSE, and BSE systems. - NISM Certificate Series 7 (SORM) or Series 8 (Equity Derivatives). - Knowledge of Stock market and basic I