Compliance Officer(Broking Firm)

Job Title : Compliance Officer(Broking Firm)

Location : Mumbai

Experience : 8–10 years

Industry : Broking / Capital Markets

Job Overview :

The Compliance Officer will be responsible for ensuring end-to-end regulatory and exchange-related compliance for the broking business. The role requires in-depth knowledge of SEBI, NSE, BSE, and CDSL regulations, strong liaison skills with regulators, and the ability to independently manage inspections, and audits.

Key Responsibilities :

• Circulate daily circulars / notifications issued by SEBI, NSE, BSE, and other regulators to relevant departments and ensure timely compliance within TAT.
• Monitor, review, and respond to alerts / queries raised by stock exchanges and regulators.
• Handle inspections from SEBI, NSE, and BSE, ensuring timely and accurate responses.
• Maintain and update CTCL (Computer-to-Computer Link) data on exchanges.
• Draft and reply to correspondences received from SEBI / Exchanges.
• Oversee concurrent and internal audits of Depository Participant (DP) and stockbroking operations.
• Manage registration, renewal, and cancellation of Authorized Persons (APs) with exchanges.
• Upload investor complaint details with exchanges and ensure timely reporting.
• Prepare and submit quarterly AP inspection reports, MIS, and compliance updates to the Board.
• Handle new membership registration processes with NSE, BSE, and CDSL.
• Prepare and submit quarterly surveillance alert reports to exchanges.

Desired Candidate Profile :

Qualifications :

Skills Required

compliance monitoring , Regulatory Reporting