Stock Broking Compliance officer(SEBI)

Job Summary:

We are seeking a meticulous and experienced Compliance Officer to ensure our operations strictly adhere to all regulatory requirements laid down by SEBI, Stock Exchanges, Depositories , and other governing bodies. The ideal candidate will have a deep understanding of capital market regulations, surveillance systems, and back-office operations in CM, F&O, and CDS segments.

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.

•        Execute and report Bulk Deals to NSCCL.

•        Activate and manage NEAT, TWS, CTCL, and IBT terminals for NSE, BSE, MCX-SX & USEIL.

•        Calculate and report client margins/funding positions accurately to exchanges.

•        Coordinate with internal teams to ensure margin trading clients submit necessary details pre-trade.

•        Manage Pay-In and Pay-Out of funds for CM, F&O, and CDS segments.

•        Oversee Pay-In and Pay-Out of securities for CM segment.

•        Ensure accurate and daily client margin reporting for F&O and Currency segments to NSCCL.

•        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, CDS, Mutual Funds, and CDSL (currently CM & F&O).

•        Implement changes based on new SEBI circulars and exchange notifications.

•        Ensure accurate reconciliation of daily trades and timely T+1/T+2 settlements.

•        Process client fund and security pay-ins/payouts within prescribed timelines.

Qualifications & Skills:

•        Graduate/postgraduate in Commerce, Law, or a related field.

•        Minimum 3 - 7 years of experience in regulatory compliance, preferably in a stockbroking or financial services firm.

•        Strong knowledge of SEBI, NSE, BSE, CDSL/NSDL regulations.

•        Experience with NEAT, TWS, CTCL, RMS, and back-office software systems.

•        Familiarity with AML guidelines, KYC norms, and trade settlements.

•        Excellent analytical, communication, and problem-solving skills.

•        High attention to detail and ability to work under regulatory deadlines.

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.