Compliance Officer

Post: Compliance Officer

Key Responsibilities

• Ensure day-to-day compliance with SEBI regulations, circulars, and exchange/depository guidelines.
• Monitor and report suspicious transactions under Anti-Money Laundering (AML) guidelines.
• File periodic reports with regulatory authorities, including margin trading, financial disclosures, and KYC compliance updates.
• Submit System Audit Reports (SAR) and Annual Returns to respective exchanges in both digital and physical formats.
• Handle day-to-day RMS and surveillance system operations, including file uploads and monitoring.
• Notify exchanges promptly of any changes in constituent structures.
• Keep KYC formats and client documentation aligned with regulatory updates; manage exchange registrations and uploads.
• Perform back-office accounting and DP operations for CM, F&O, and CDSL (currently CM & F&O).
• Implement changes based on new SEBI circulars and exchange notifications.

Eligibility & Qualifications

• Education: Graduate or postgraduate degree in Law, Finance, Commerce, preferred NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund), NISM-Series-III-C: Securities Intermediaries Compliance (Fund)
• Strong knowledge of SEBI, NSE, BSE, CDSL regulations.
• Experience: Generally requires 1 to 3 years of hands-on compliance or back-office experience in the stock broking or capital markets industry.
• Skills: In-depth knowledge of SEBI regulations, exchange bye-laws, strong analytical abilities, and regulatory documentation skills

Why Join Us?

• Opportunity to work in a dynamic startup, stock broking environment.
• Career growth in legal, compliance, and corporate governance.
• Competitive salary and benefits as per industry standards.

Pay: ₹600,000.00 - ₹720,000.00 per year

Work Location: In person