Compliance Officer

Job Responsibilities : Ensure adherence to SEBI, NSE, BSE, and regulatory guidelines Prepare and submit compliance reports and filings Monitor client KYC / AML procedures Conduct internal audits and manage regulatory inspections Coordinate with external auditors and exchange authorities Requirements : Graduate / Postgraduate in Law, Commerce, or related field Strong experience in a broking firm's compliance function Knowledge of SEBI circulars, audits, and reporting systems High attention to detail and excellent documentation skills

Experience :

Minimum 5 years in equity / securities compliance