Key Responsibilities
- Manage overall compliance with SEBI, exchange, and statutory regulations.
- Monitor trading, dealing, RMS, KYC, and operational compliance.
- Handle exchange filings, regulatory reports, and submissions.
- Plan and conduct Internal, Cyber, and Stock Audits and ensure timely closure of findings.
- Coordinate with SEBI, exchanges, depositories, auditors, and inspection teams.
- Develop and update compliance policies, SOPs, and risk-control frameworks.
- Track regulatory circulars and ensure timely implementation.
- Prepare compliance and audit reports for the CEO/Board.
- Train employees on regulatory requirements and compliance updates.
Required Skills
- Strong knowledge of SEBI regulations, exchange bye-laws, and stock broking compliance.
- Experience in trading compliance and regulatory audits.
- Strong audit coordination, documentation, and reporting skills.
- Excellent communication, leadership, and analytical abilities.
- High integrity and ability to work independently.
Eligibility
- Graduate/Post-Graduate in Law, Finance, Commerce, or related field; CA/CS/Compliance certification preferred.
- Minimum 3 years of compliance experience in a stock broking or financial services company – mandatory.
- Strong knowledge of SEBI, exchange, and depository compliance processes.
Pay: ₹70,000.00 - ₹100,000.00 per month
Work Location: In person
