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 3-5 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.
For more information, contact us: