Job Description

- Compliance Officer - Dexif

About Dexif:

Dexif is a FinTech startup that is aiming to make fixed income markets accessible to all with new products, services and ways to invest in fixed income products. We are backed by leading venture investors.

We are looking for a Compliance Officer who is a qualified company secretary.

Key Responsibilities:

i. Handling and supervising trading, DP, back office, RMS and exchange & listing compliances. Monitoring day-to-day exchange compliances.

ii. Ensuring compliance with SEBI, NSE, BSE and other relevant rules, regulations and circulars. Compliance related to KYC, AML, PMLA, Income tax and other relevant acts. Setting up systems and MIS for regular monitoring and evaluation of trades and accounts based on these regulations. Ensuring compliance with margin and deposit regulations. Ensuring pre-trade and post-trade risk controls.

iii. Ensuring compliance with regulatory reporting, filing and disclosure requirements. Answering the queries by regulators and exchanges, if any.

iv. Investor grievance management; managing the SCORES portal as directed by SEBI.

v. Developing a comprehensive risk management framework that covers all aspects of operations. Ensuring that risks associated with operations are identified correctly and managed prudently.

vi. Handling and ensuring timely submissions of various relevant audits such as Compliance Internal Audits, System Audits, Cyber security audits, and DP Audits. Reviewing the existing compliance processes in consultation with the Internal Auditors and implementation of the suggestions of the Internal Auditors.

vii. Risk profiling of investors and sellers on the platform as suggested by SEBI.

viii. Hiring and managing a small team of compliance and risk managers as necessary

Qualifications:

- Relevant work experience of 5+ years in compliance function of a brokerage or a bank/treasury. Experience in the fixed income (debt) segment is more relevant.

- Qualified Company Secretary

- NISM Series 3 A (Securities Intermediaries Compliance (Non-Fund)) certification mandatory

- NISM certifications of series VI (DP operations) and series VII (SORM) preferred but not mandatory

This is a full-time role based in Noida. We believe in hiring the best people and we reward them with the best-in-class compensation and reward structure. This is an opportunity to work with an early-stage start-up and be a part of the growth story.

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