Regulatory Affairs Specialist

6 days ago

Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 17,50,000 - ₹ 2,19,75,000

About Bullsmart

Bullsmart is a fintech company that utilizes technology to empower young individuals in starting their investment journey. We offer equal investment opportunities for all, providing cutting-edge financial tools and services.

Our Core Values:

• Equality of Opportunity: We provide premier investment services to beginners, ensuring everyone has an equal chance to succeed.

• Abundant Investment Tools: Our platform offers numerous tools to guide investors in discovering suitable opportunities and making informed decisions.

• Growth Support: We care deeply about the growth of our investors and strive to educate them on investing principles and foster their skills.

Job Summary:

We are seeking a meticulous and experienced Compliance Officer to ensure our operations adhere strictly to regulatory requirements set by SEBI, Stock Exchanges, Depositories, and other governing bodies. The ideal candidate will possess a deep understanding of capital market regulations, surveillance systems, and back-office operations in CM, F&O, and CDS segments.

Key Responsibilities:

• Ensure day-to-day compliance with SEBI regulations, circulars, and exchange/depository guidelines.

• Monitor and report suspicious transactions under Anti-Money Laundering (AML) guidelines.

• File periodic reports with regulatory authorities, including margin trading, financial disclosures, and KYC compliance updates.

• Submit System Audit Reports (SAR) and Annual Returns to respective exchanges in both digital and physical formats.

• Execute and report Bulk Deals to NSCCL.

• Activate and manage NEAT, TWS, CTCL, and IBT terminals for NSE, BSE, MCX-SX & USEIL.

• Calculate and report client margins/funding positions accurately to exchanges.

• Coordinate with internal teams to ensure margin trading clients submit necessary details pre-trade.

• Manage Pay-In and Pay-Out of funds for CM, F&O, and CDS segments.

• Oversee Pay-In and Pay-Out of securities for CM segment.

• Ensure accurate and daily client margin reporting for F&O and Currency segments to NSCCL.

• Handle day-to-day RMS and surveillance system operations, including file uploads and monitoring.

• Notify exchanges promptly of any changes in constituent structures.

• Keep KYC formats and client documentation aligned with regulatory updates; manage exchange registrations and uploads.

• Perform back-office accounting and DP operations for CM, F&O, CDS, Mutual Funds, and CDSL (currently CM & F&O).

• Implement changes based on new SEBI circulars and exchange notifications.

• Ensure accurate reconciliation of daily trades and timely T+1/T+2 settlements.

• Process client fund and security pay-ins/payouts within prescribed timelines.

Qualifications & Skills:

• Graduate/postgraduate in Commerce, Law, or a related field.

• Minimum 3–5 years of experience in regulatory compliance, preferably in a stockbroking or financial services firm.

• Strong knowledge of SEBI, NSE, BSE, CDSL/NSDL regulations.

• Experience with NEAT, TWS, CTCL, RMS, and back-office software systems.

• Familiarity with AML guidelines, KYC norms, and trade settlements.

• Excellent analytical, communication, and problem-solving skills.

• High attention to detail and ability to work under regulatory deadlines.

Why Join Us?

• Opportunity to work in a dynamic startup, stock broking environment.

• Career growth in legal, compliance, and corporate governance.

• Competitive salary and benefits as per industry standards.

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