Equity Trading Compliance Specialist

2 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time
Job Summary

The 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, and liaise with regulators.
  • Trade Surveillance & Monitoring:
    • Monitor institutional equity trades for potential market abuse, insider trading, and other irregularities.
    • Collaborate with surveillance and risk teams to investigate unusual trading patterns.
  • 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.
  • Training & Awareness:
    • Conduct periodic training sessions for institutional equity desk staff on regulatory requirements and internal code of conduct.
  • Internal & External Coordination:
    • Support internal audits, inspections, and reviews.
    • Work closely with Legal, Surveillance, KYC, and Risk teams to manage regulatory expectations.

    Qualifications:
    • Education:
      • Graduate/Postgraduate in Law, Finance, or Commerce.
    • Experience:
      • 5–8 years of relevant experience in compliance within Institutional Equities, Broking, or Investment Banking.
    • 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.

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