Compliance Officer

Role: Compliance Officer - Online Bond Platform Experience Preferred

Location: Gurgaon (HQ)

Qualification: CS

Experience: 10+ Years

Industry: Capital Markets / Financial Services / Online Bond Broking / Stock Broking

GoldenPi is India's leading digital platform for fixed-income investments, enabling investors to access bonds and other fixed-income products through a seamless, technology-driven experience. As we continue to expand, we are looking for an experienced Compliance Officer to strengthen our regulatory and compliance framework.

Role Overview:

We are seeking a seasoned Compliance Officer with over 10 years of experience in compliance within the financial services industry, including at least 4 years in online bond broking or stock broking. The ideal candidate should have extensive experience working with SEBI, stock exchanges, depositories, and other regulatory bodies while ensuring the organization maintains the highest standards of regulatory compliance.

Key Responsibilities:

- Ensure end-to-end compliance with applicable SEBI regulations, stock exchange circulars, and other regulatory requirements.

- Act as the primary liaison with regulators, including SEBI, stock exchanges, depositories, and other statutory authorities.

- Manage regulatory communications, submissions, clarifications, approvals, and responses to regulatory queries.

- Oversee KYC, AML, client onboarding, and investor protection compliance in line with regulatory guidelines.

- Support internal, statutory, SEBI, exchange, and depository audits, inspections, and surveillance activities.

- Monitor regulatory developments and assess their impact on business operations, advising internal stakeholders on implementation.

- Ensure timely preparation and submission of all regulatory filings, reports, returns, and disclosures.

- Work closely with Legal, Risk, Operations, Technology, and Business teams to embed compliance requirements into business processes.

- Maintain and update compliance policies, SOPs, internal controls, and governance frameworks.

- Drive compliance awareness through training and guidance across business functions.

- Support licensing and regulatory approval processes related to Stock Broking, Depository Participant, and other financial market licenses.