Institutional Equities

2 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000
Job Title: Compliance Specialist in Institutional Equities

As 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 Responsibilities
  • Advise front-office personnel on regulatory requirements and monitor trading activities to ensure compliance.
  • Manage regulatory issues and liaise with SEBI and other Market Infrastructure Institutions (MIIs).

Trade Surveillance & Monitoring
  • Monitor institutional equity trades for potential market abuse, insider trading, and unusual patterns using surveillance tools.
  • Collaborate with surveillance and risk teams to investigate suspicious transactions and generate reports.

Compliance Monitoring
  • Act as the first point of contact for the institutional equities desk on regulatory or compliance-related queries.
  • Provide guidance on interpretation and application of SEBI rules.

Qualifications
  • Graduate/Postgraduate degree in Law, Finance, or Commerce.
  • Additional certifications such as NISM Series IIIA or VII 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.

Skills & Competencies
  • Strong understanding of SEBI regulations, equity market structure, and institutional trading norms.
  • High integrity, attention to detail, and strong analytical ability.

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