We are looking for a detail-oriented and proactive Compliance & Operations Executive to manage regulatory compliance, operational processes, and reporting for our capital markets business. The ideal candidate should possess hands-on experience with NSE, BSE, CDSL, SEBI regulations, compliance reporting, and back-office operations.
Key Responsibilities
- Ensure timely submission of daily, monthly, quarterly, half-yearly, and annual compliance reports.
- Handle regulatory filings with NSE, BSE, CDSL, and SEBI.
- Upload daily holding, segregation, and regulatory files.
- Monitor SEBI, NSE, BSE, and CDSL circulars and implement regulatory updates.
- Manage Portfolio Management Services (PMS) operational activities.
- Perform client fund allocation and settlement processes.
- Handle depository operations through CDSL Back Office.
- Prepare and maintain compliance documentation, policies, and SOPs.
- Coordinate with auditors and regulatory authorities during inspections.
- Assist in internal audits and regulatory compliance reviews.
- Ensure adherence to operational controls and compliance standards.
Required Skills
- Knowledge of SEBI, NSE, BSE, and CDSL regulations
- Regulatory reporting and compliance management
- Capital market operations
- Depository participant operations
- Client fund management and settlements
- Portfolio Management Services (PMS)
- Internal audit coordination
- Risk assessment and compliance monitoring
- Strong documentation and reporting skills
- Excellent analytical and communication skills
Preferred Qualifications
- B.Com, Finance, PGDM, MBA (Finance), or equivalent.
- 3–6 years of experience in compliance and operations within stock broking, wealth management, PMS, depository participants, or capital markets.
- Experience working with regulatory reporting platforms and depository systems.
- Good understanding of capital market regulations and compliance frameworks.
Preferred Industry
- Stock Broking
- Wealth Management
- Capital Markets
- Investment Advisory
- Portfolio Management Services (PMS)
- Depository Participant
- Financial Services
- NBFC
Pay: ₹50,000.00 - ₹60,000.00 per month
Work Location: In person
