Regulatory Compliance Officer- Stock Broking

About Bullsmart Bullsmart is a fin-tech company that uses technology to help young people start investing. We provide equal investment service opportunities for investors who have started on their investment path. We share cutting-edge financial tech tools, brilliant investment ideas, and wealth growth opportunities with young investors. Our Values ·        We provide equal investment service opportunities to beginners who can enjoy all our premier investment services. ·        We offer abundant investment tools to guide investors to discover investment opportunities and make the decision the right decision. ·        We deeply care about the growth of our investors. We wish to support them in understanding how to invest and foster their investment skills. Job Summary: We are seeking a meticulous and experienced Compliance Officer to ensure our operations strictly adhere to all regulatory requirements laid down by SEBI, Stock Exchanges, Depositories , and other governing bodies. The ideal candidate will have a deep understanding of capital market regulations, surveillance systems, and back-office operations in CM, F&O, and CDS segments. Key Responsibilities: ·        Ensure day-to-day compliance with SEBI regulations, circulars, and exchange/depository guidelines. ·        Monitor and report suspicious transactions under Anti-Money Laundering (AML) guidelines. ·        File periodic reports with regulatory authorities, including margin trading, financial disclosures, and KYC compliance updates. ·        Submit System Audit Reports (SAR) and Annual Returns to respective exchanges in both digital and physical formats. ·        Execute and report Bulk Deals to NSCCL. ·        Activate and manage NEAT, TWS, CTCL, and IBT terminals for NSE, BSE, MCX-SX & USEIL. ·        Calculate and report client margins/funding positions accurately to exchanges. ·        Coordinate with internal teams to ensure margin trading clients submit necessary details pre-trade. ·        Manage Pay-In and Pay-Out of funds for CM, F&O, and CDS segments. ·        Oversee Pay-In and Pay-Out of securities for CM segment. ·        Ensure accurate and daily client margin reporting for F&O and Currency segments to NSCCL. ·        Handle day-to-day RMS and surveillance system operations, including file uploads and monitoring. ·        Notify exchanges promptly of any changes in constituent structures. ·        Keep KYC formats and client documentation aligned with regulatory updates; manage exchange registrations and uploads. ·        Perform back-office accounting and DP operations for CM, F&O, CDS, Mutual Funds, and CDSL (currently CM & F&O). ·        Implement changes based on new SEBI circulars and exchange notifications. ·        Ensure accurate reconciliation of daily trades and timely T+1/T+2 settlements. ·        Process client fund and security pay-ins/payouts within prescribed timelines. Qualifications & Skills: ·        Graduate/postgraduate in Commerce, Law, or a related field. ·        Minimum 3–5 years of experience in regulatory compliance, preferably in a stockbroking or financial services firm. ·        Strong knowledge of SEBI, NSE, BSE, CDSL/NSDL regulations. ·        Experience with NEAT, TWS, CTCL, RMS, and back-office software systems. ·        Familiarity with AML guidelines, KYC norms, and trade settlements. ·        Excellent analytical, communication, and problem-solving skills. ·        High attention to detail and ability to work under regulatory deadlines. Why Join Us? ·        Opportunity to work in a dynamic startup, stock broking environment. ·        Career growth in legal, compliance, and corporate governance. ·        Competitive salary and benefits as per industry standards.