01Overview
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.
Compensation: 70,000.00 - 100,000.00 per month
Work Location: In person .
