Compliance Officer – Job Responsibilities (Stock Market / Broking Industry)
Position: Compliance Officer
Experience: 4–10 Years
Industry: Stock Market / Broking Firm
Key Responsibilities
- Ensure compliance with all regulatory requirements of SEBI, NSE, BSE, Depositories, and other applicable authorities.
- Handle regulatory notices, exchange communications, inspections, audits, and submissions within prescribed timelines.
- Monitor daily compliance activities and maintain statutory records, registers, and reports.
- Prepare and submit periodic compliance reports, regulatory filings, and certifications.
- Ensure adherence to internal policies, SOPs, risk management frameworks, and compliance guidelines.
- Coordinate with exchanges, regulators, auditors, and internal departments for compliance-related matters.
- Review and update compliance policies as per changes in regulatory requirements.
- Investigate compliance breaches and implement corrective and preventive actions.
- Conduct compliance training programs and educate employees on regulatory requirements and best practices.
- Lead, mentor, and manage the compliance team, ensuring proper allocation and monitoring of responsibilities.
- Guide team members in handling regulatory matters, notices, and day-to-day compliance operations.
- Monitor client onboarding, KYC, AML, PMLA, and other regulatory compliance requirements.
- Maintain proper documentation and ensure readiness for regulatory inspections and audits.
- Work closely with management to identify compliance risks and implement effective controls.
Required Skills
- 4–10 years of experience in Compliance within the Stock Market/Broking Industry.
- Strong knowledge of SEBI, NSE, BSE, Depository, KYC, AML, and PMLA regulations.
- Experience in handling regulatory notices, inspections, and audits.
- Ability to lead, train, and develop a compliance team.
- Strong communication, analytical, and problem-solving skills.
- Proficiency in MS Excel, MS Office, compliance software, and broking/back-office systems.
- Good understanding of trading operations, risk management, and regulatory reporting.
- Ability to work independently and manage multiple compliance functions effectively.
Preferred Qualification: Graduate/Post Graduate, CS, LLB, MBA Finance, or other relevant professional qualification.
Pay: ₹45,000.00 - ₹75,000.00 per month
Benefits:
Work Location: In person
