Rathi - Compliance Officer

Key Responsibilities :

Regulatory Compliance : .

• Ensure compliance with SEBI (Stock Brokers) Regulations, PMLA, SEBI (Prohibition of Insider Trading) Regulations, SEBI (LODR), and circulars issued by SEBI, NSE, BSE.
• Monitor adherence to SEBI rules on algorithmic trading, co-location, client onboarding (KYC / AML), and institutional trade execution.
• Keep track of updates to SEBI regulations and implement internal changes accordingly.

Trade Surveillance & Monitoring : .

• Monitor institutional equity trades for potential market abuse, insider trading, front-running, and circular trading using surveillance tools (e. , NSE / BSE alerts).
• Coordinate with surveillance and risk teams to investigate unusual patterns and generate STRs if required.
• Compliance Monitoring.
• Act as the first point of contact for institutional equities desk (sales & trading) on regulatory or compliance-related queries.
• Guide the desk on interpretation and application of SEBI rules (e. , DDP rules, FPI participation limits, AIF restrictions).
• Conduct sample testing and periodic reviews of equities trades and processes.
• Maintain records and documentation of compliance reviews, exception reporting, and corrective actions.

Training & Awareness : .

• Conduct periodic training for institutional equity desk staff on regulatory requirements and internal code of conduct, including SEBI's insider trading norms.

Internal & External Coordination :

• Support internal audits, SEBI / NSE / BSE inspections, and compliance reviews.
• Collaborate with legal, surveillance, KYC, and risk teams to manage regulatory expectations and ensure robust governance.

Qualifications :

Education : Graduate / Postgraduate in Law, Finance, or Commerce.

• Additional certifications such as NISM Series IIIA (Compliance Officer Module) or NISM Series VII (Securities Operations & Risk Management) are desirable.

Experience :

• 3-5 years of relevant experience in compliance within Institutional Equities or a broking / investment banking environment.
• Experience dealing with SEBI, NSE, BSE, and understanding of institutional investor categories (FPIs, Mutual Funds, AIFs, PMS).

Skills & Competencies :

• Strong knowledge of SEBI regulations, equity market structure, and institutional trading norms.
• High integrity, detail-oriented, and strong analytical skills.
• Excellent communication skills - ability to interact effectively with trading desks, senior management, and regulators.
• Proficiency in Excel, Word, and exposure to trading and surveillance systems.

ref : iimjobs.com)