Capital Markets Compliance Officer

Position : Compliance Lead — Capital Markets

Company Secretary (CS) is mandatory

About the role

We’re looking for a seasoned Compliance & Surveillance professional to lead transaction monitoring, surveillance systems and regulatory liaison for the client’s trading and broking operations. This is a hands-on role owning AML / PMLA processes, DSP / Algo approvals, exchange filings and surveillance reporting to senior management.

Key Responsibilities :

• Monitor daily trading activities and close surveillance alerts
• Handle AML, PMLA, FIU, and insider trading compliance
• Manage SEBI / NSE / BSE regulatory submissions
• Work on algo trading compliance, DMA approvals, and membership documentation
• Update and implement SEBI circulars and exchange guidelines
• Prepare compliance reports, audits, and MIS
• Work with surveillance systems and Power BI dashboards
• Coordinate effectively with regulators and internal stakeholders

Must-Have Skills

Strong documentation & communication skills

Interested can share to manasakesiboina@prosapiens.in