Compliance Officer – Stock Broking

4 weeks ago

Delhi, Delhi, India Alankit Full time

Job Title: Compliance Officer – Stock Broking

Function: Regulatory Compliance & Risk

Location: Delhi

Experience required: 8–12 years

Preferred Background: Stock Broking / Financial Services / Banking Compliance

Educational Qualification: MBA/PGDM, LLB, CA/ICWA (with specialisation in securities law, financial regulations, or corporate governance)

Note- Candidates must be based in Delhi or open to relocating in order to apply..

Position Overview:

We are seeking a seasoned Compliance Officer to oversee the full spectrum of compliance functions for our stock broking business. This role will be responsible for ensuring the organisation's strict adherence to all applicable laws, regulations, and internal policies, as mandated by SEBI, NSE, BSE, CDSL, and other statutory authorities. The ideal candidate should have strong experience in compliance frameworks, audit management, risk mitigation, and regulatory communication.

Key Responsibilities:

Regulatory Compliance

  • Ensure the firm remains fully compliant with SEBI, NSE, BSE, NCDEX, MCX, NSDL, CDSL, and other relevant regulatory guidelines.
  • Monitor and interpret regulatory changes and ensure timely implementation of required updates.
  • Prepare and submit periodic compliance reports, regulatory filings, and returns as mandated.

Internal Controls & Audits

  • Conduct daily/weekly/monthly transaction surveillance and compliance checks.
  • Implement internal audits and manage external inspections by SEBI, stock exchanges, and statutory auditors.
  • Identify compliance gaps and coordinate with departments for timely resolution and documentation.

Insider Trading & Employee Trading Policy

  • Draft, implement, and monitor the Code of Conduct for Insider Trading and the Employee Trading Policy (PAD).
  • Act as the Internal Compliance Officer for insider trading regulations, including coordination with the control room.
  • Organise periodic training and awareness programs for employees on insider trading norms and KYC/AML policies.

KYC & AML Monitoring

  • Oversee adherence to Know Your Customer (KYC) and Customer Due Diligence (CDD) requirements.
  • Monitor AML compliance, including transaction alerts, suspicious transaction reports (STRs), and risk assessments.

Exchange Membership & Licensing

  • Prepare documentation for applying/renewing memberships with NSE, BSE, SEBI, CDSL, etc.
  • Liaise with regulatory authorities for inspections, clarifications, or correspondence.

Key Skills & Attributes:

  • Strong knowledge of SEBI regulations, AML guidelines, and exchange compliance protocols.
  • Experience in handling compliance for trading operations, including Equities, Derivatives, and Mutual Funds.
  • Excellent attention to detail, risk awareness, and documentation standards.
  • Strong interpersonal skills to communicate with regulatory bodies, internal stakeholders, and auditors.
  • Ability to manage and train teams in compliance policies and governance best practices.

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