Compliance Officer

POSITION SUMMARY
We are looking for a senior-level Compliance Officer to oversee the company's day-to-day regulatory compliance across
trading exchange and audit functions. The candidate will be responsible for ensuring the brokerage operates fully within
SEBI exchange and statutory guidelines and for leading internal cyber and stock audits.
KEY RESPONSIBILITIES
• Manage overall day-to-day compliance of the company as per SEBI NSE BSE MCX and other regulatory
guidelines.
• Monitor trading compliance — ensure client dealings dealer activity and RMS processes adhere to exchange
norms.
• Ensure timely and accurate exchange compliance filings reports and submissions.
• Plan and conduct internal audits across departments (dealing RMS KYC accounts) to identify and mitigate
compliance gaps.
• Coordinate and oversee Cyber Audits in line with SEBI cybersecurity and cyber-resilience framework
requirements.
• Coordinate and oversee Stock Audits and ensure findings are addressed within stipulated timelines.
• Maintain complete and accurate documentation for all regulatory audit and inspection purposes.
• Act as the primary point of contact for SEBI exchange and depository inspections/audits.
• Draft update and implement internal compliance policies SOPs and risk control frameworks.
• Track regulatory circulars/updates from SEBI and exchanges and ensure timely implementation across the
organization.
• Report compliance status risks and audit findings directly to the CEO/Board on a periodic basis.
• Guide and train staff across departments on compliance requirements and regulatory changes.
REQUIRED SKILLS & COMPETENCIES
• In-depth knowledge of SEBI regulations exchange bye-laws and stock broking compliance requirements.
• Strong experience in handling trading compliance exchange compliance and regulatory audits.
• Proven experience managing Internal Audit Cyber Audit and Stock Audit processes.
• Excellent documentation reporting and audit-coordination skills.
• Strong leadership skills to guide cross-functional teams on compliance matters.
• High integrity attention to detail and ability to work independently at a senior level.
ELIGIBILITY & REQUIREMENTS
• Graduate/Post-Graduate in Law Finance Commerce or related field; professional certification (Company
Secretary/CA/Compliance certifications) preferred.
• Minimum 3 years of senior-level compliance experience specifically within a stock broking/financial services firm
— mandatory.
• Strong working relationship/familiarity with SEBI exchange and depository compliance processes.

Required Skills:

Regulatory Compliance SEBI Regulations Exchange Bye-laws Stock Broking Compliance Trading Compliance Exchange Compliance Regulatory Audits Internal Audit Cyber Audit Stock Audit Audit Coordination Exchange Compliance Filings Documentation Reporting Risk Control Frameworks Compliance Policies SOPs KYC Depository Compliance Cybersecurity Cyber-Resilience Leadership Cross-Functional Team Guidance Staff Training Attention to Detail Ability to Work Independently RMS Processes Regulatory Inspections Regulatory Circular Tracking

Employment Type : Full Time
Experience: years
Vacancy: 1