Institutional Equities – Compliance Manager

3 weeks ago

Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full time

Job Summary

The incumbent for Institutional Equities – Compliance will be responsible for ensuring that all equity trading activities conducted on behalf of institutional clients comply with SEBI regulations, stock exchange requirements, and internal compliance frameworks. The role includes advising front-office personnel, monitoring trading activities, managing regulatory issues, and liaising with SEBI and other Market Infrastructure Institutions (MIIs).

Key Responsibilities

1. Regulatory Compliance

  • Ensure compliance with SEBI (Stock Brokers) Regulations, PMLA, SEBI (Prohibition of Insider Trading) Regulations, SEBI (LODR), and circulars issued by SEBI, NSE, and BSE.
  • Monitor adherence to SEBI rules on algorithmic trading, co-location, client onboarding (KYC/AML), and institutional trade execution.
  • Track regulatory updates and implement necessary internal changes to maintain compliance.

2. Trade Surveillance & Monitoring

  • Monitor institutional equity trades for potential market abuse, insider trading, front-running, and circular trading using surveillance tools (e.g., NSE/BSE alerts).
  • Collaborate with surveillance and risk teams to investigate unusual trading patterns and generate Suspicious Transaction Reports (STRs), if required.

3. Compliance Monitoring

  • Act as the first point of contact for the institutional equities desk (sales & trading) on regulatory or compliance-related queries.
  • Provide guidance on interpretation and application of SEBI rules (e.g., DDP rules, FPI participation limits, AIF restrictions).
  • Conduct sample testing and periodic reviews of equity trades and related processes.
  • Maintain accurate records, documentation, exception reporting, and corrective action logs.

4. Training & Awareness

  • Conduct periodic training sessions for institutional equity desk staff on regulatory requirements and internal code of conduct, including SEBI's insider trading norms.

5. Internal & External Coordination

  • Support internal audits, SEBI/NSE/BSE inspections, and compliance reviews.
  • Work closely with Legal, Surveillance, KYC, and Risk teams to manage regulatory expectations and ensure effective governance.

Qualifications

Education

  • Graduate/Postgraduate in Law, Finance, or Commerce.
  • Additional certifications such as NISM Series IIIA (Compliance Officer Module) or NISM Series VII (Securities Operations & Risk Management) preferred.

Experience

  • 5–8 years of relevant experience in compliance within Institutional Equities, Broking, or Investment Banking.
  • Experience dealing with SEBI, NSE, BSE, with knowledge of institutional investor categories (FPIs, Mutual Funds, AIFs, PMS).

Skills & Competencies

  • Strong understanding of SEBI regulations, equity market structure, and institutional trading norms.
  • High integrity, attention to detail, and strong analytical ability.
  • Excellent communication skills with the ability to interact effectively with trading desks, senior management, and regulators.
  • Proficiency in MS Excel, Word, and exposure to trading/surveillance systems.

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