Institutional Equities – Compliance Manager
1 day ago
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.
Email: nasimkhan@rathi.com
Contact: +91 9356968576
-
Institutional Equities – Compliance Manager
6 days ago
Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full timeJob SummaryThe 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,...
-
Institutional Equities – Compliance Manager
6 days ago
Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full timeJob SummaryThe 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,...
-
Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full timeJob 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,...
-
Institutional Equities – Compliance Manager
2 days ago
Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full timeJob SummaryThe 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,...
-
Institutional Equities
24 hours ago
Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000Job Title: Compliance Specialist in Institutional EquitiesAs a key member of the institutional equities team, you will play a critical role in ensuring all trading activities are compliant with SEBI regulations and internal frameworks.Key ResponsibilitiesAdvise front-office personnel on regulatory requirements and monitor trading activities to ensure...
-
Institutional Equities Regulatory Specialist
2 days ago
Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,00,00,000 - ₹ 1,50,00,000Job OpportunityInstitutional Equities Compliance Manager Job SummaryAbout the RoleThe role of Institutional Equities Compliance Manager is crucial to ensuring that all equity trading activities conducted on behalf of institutional clients comply with relevant regulations, stock exchange requirements, and internal compliance frameworks.This includes advising...
-
Equity Trading Compliance Specialist
22 hours ago
Mumbai, Maharashtra, India beBeeCompliance Full timeJob SummaryThe Compliance Manager will oversee the institutional equities department to ensure all equity trading activities comply with regulatory requirements.Key Responsibilities:Regulatory Compliance:Ensure adherence to SEBI regulations, stock exchange requirements, and internal compliance frameworks.Monitor trading activities, manage regulatory issues,...
-
Institutional Equity Investment Role
17 hours ago
Mumbai, Maharashtra, India beBeeInvestment Full time ₹ 1,50,00,000 - ₹ 2,00,00,000Equity Sales ProfessionalWe are seeking a skilled Equity Sales Professional to drive sales to institutional investors, both domestically and internationally.Main Responsibilities:Develop and implement investment strategies for professional institutional investors.Maintain close relationships with domestic and international institutional investors.This role...
-
Research Analyst
8 hours ago
Mumbai, Maharashtra, India Nuvama Institutional Equities Full timeTitle: Research Analyst Cement, Infrastructure & Real Estate Location: Mumbai Experience: 1- 2 Years About the Role: We are seeking a Research Analyst with 1 -2 years of experience in Cement, Infrastructure, and Real Estate sectors . The candidate will be responsible for conducting in-depth industry research, financial analysis, and assisting senior...
-
Senior Associate
1 day ago
Mumbai, Maharashtra, India beBeeAnalytics Full time ₹ 15,00,000 - ₹ 25,00,000Job OpportunityWe are seeking a highly skilled and detail-oriented individual to join our team in the Institutional Equity Division as a Senior Associate. The role is based out of Mumbai and requires collaboration with the Governance and COO teams.About the RoleThis position involves generating reports, aggregating, and maintaining various data sets from...
