Compliance Officer

4 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,40,00,000 - ₹ 1,86,00,000
Job Title: Compliance Officer - Institutional Equities

We are seeking a seasoned compliance professional to join our team. The ideal candidate will have a strong understanding of SEBI regulations and equity market structure, with the ability to ensure compliance with internal frameworks and regulatory requirements.

Key Responsibilities:
  • Regulatory Compliance:
    • Ensure adherence to SEBI (Stock Brokers) Regulations, PMLA, SEBI (Prohibition of Insider Trading) Regulations, SEBI (LODR), and circulars issued by SEBI, NSE, and BSE.
    • Monitor trading activities for potential market abuse, insider trading, front-running, and circular trading using surveillance tools.
    • Track regulatory updates and implement necessary internal changes to maintain compliance.
  • Trade Surveillance & Monitoring:
    • Collaborate with surveillance and risk teams to investigate unusual trading patterns and generate Suspicious Transaction Reports (STRs), if required.
    • Act as the first point of contact for the institutional equities desk on regulatory or compliance-related queries.
  • Compliance Monitoring:
    • Provide guidance on interpretation and application of SEBI rules, including DDP rules, FPI participation limits, and AIF restrictions.
    • Maintain accurate records, documentation, exception reporting, and corrective action logs.
  • Training & Awareness:
    • Conduct periodic training sessions for institutional equity desk staff on regulatory requirements and internal code of conduct, including SEBIs insider trading norms.
  • 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.
Required Skills and 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:
    • At least 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 analytical ability, attention to detail, and high integrity.
    • Excellent communication skills with the ability to interact effectively with trading desks, senior management, and regulators.

This is an excellent opportunity for a dedicated compliance professional to grow with our organization and make a meaningful impact on our business.

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