Compliance Officer

Job Description

Job Title: Compliance officerIntroduction: IndiaP2PIndiaP2P is a digital fintech platform enabling high-yield investment opportunities for retail investors while unlocking capital for Indias most purposeful borrowers.With the industrys most advanced technology stack, IndiaP2P goes well beyond connecting lenders and borrowers. Our technology undertakes a variety of credit assessment and risk mitigation processes using proprietary algorithms. These processes disintermediate traditional middlemen in the credit value chain thereby generating higher potential returns via systemic efficiency.Job Overview:We are seeking a skilled Compliance Officer to join our team. The ideal candidate will have 0-3 years experience in providing legal advice and support to the Management on various ROC/ MCA matters . The candidate will be responsible for handling ROC / MCA matters and will also assist in corporate governance issues, drafting and reviewing contracts, compliance matters, and other legal aspects relevant to corporate operations.Location: HyderabadTravel: Should be prepared to travel .Roles and Responsibilities: Regulatory inspections of commodity & Stock market, person should be well versed with internal audits, DP audits, special and Spot inspections, verification of data sub-mitted by all depts., Coordination and Exchange submission, sending suitable reply to the regulatory authorities. Assisting to internal auditors for conducting internal audits of all exchanges on a regular and Periodic basis. Aware of recent circular issued by various regulators like SEBI, RBI and issued by stock exchanges like NSE, BSE & MCX. Also, shall be aware of circular and regulation issued by CDSL. Assisting various internal stake holder for implementation of various circular issued by regulator or stock exchanges and depository. Well versed with process of on-boarding of clients at trading member Shall ensure trading terminals related regulation at exchanges Ensure timeliness as per compliance calendar and adhered to various deadlines by regulators, Stock Exchanges and Depository. Shall be able to understand legal agreements Shall require sending Information and important Communication to all internal and external stake holder. Monitoring compliance of KYC and AML & PMLA guidelines followed in opening of account by operations team and also Heading KYC. Ensuring proper analysis of alerts received from CDSL and exchanges and closing the same with proper justification. Ensuring analysis of internal alerts closing them with proper justification Reporting of Suspicious transaction to FIU/CDSL/Stock exchanges Follow-ups with the exchanges to obtain the necessary approvals Well versed with handling all types of compliance issue (Monthly, Quarterly, Half Year and Yearly) and Exchange Inspection. Keep up-to date with new Exchanges/SEBI circulars and implement the same Listing Compliances with Stock Exchanges as per the Listing Agreement and SEBI (LODR) Regulations. Listing of new Shares and dealing with Takeover code & insider trading compliances Filing of All Return, disclosures, Declarations, forms, etc. within the time prescribed by Law. Check Regular compliances being done accurately - Enhanced supervision, Margin Reporting, Exchanges reporting. Handle internal audit, exchange Inspection, Exchanges Approvals Handle client complaintsPreferred Qualifications: Familiarity with corporate governance principles and practices. Prior experience in securities law compliance and disclosure requirements.Employment Type:Full-timeJob Type: Full-timeBenefits: Health insuranceSchedule: Day shift Morning shiftAbility to commute/relocate: Hyderabad, Telangana: Reliably commute or planning to relocate before starting work (Preferred)Experience: Compliance management: 1 year (Preferred)Work Location: In personExpected Start Date: 01/08/2024,

Keyskills :
Legal adviceCorporate governanceKYCDrafting contractsCompliance mattersRegulatory inspectionsInternal auditsAMLPMLA guidelinesSuspicious transaction reportingListing compliancesSecurities law compliance