Compliance Officer- Capital Market Job in Young Turtle LLP

Roles and Responsibilities

• Handle all Compliance for Prop Trading desk - Broking Firm & ensure that no regulatory non-compliance/observation is made during the inspection.
• Tracking all circulars/ regulatory requirements and communicating the same to relevant teams with actionable.
• Handling all regulatory inspections and audits.
• Manage and independently handle all stockbroking-related routine compliances.
• Actively involved in the interpretation and end-to-end implementation of circulars and regulations issued by the exchanges & SEBI.
• Tracking of surveillance alerts received from NSE/BSE at Member portal for necessary action.
• Working knowledge of Depository Participant/Portfolio Management Services/Advisory and Research regulations.