Compliance Officer(Broking Firm)

2 days ago

Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 12,00,000 - ₹ 36,00,000 per year

Job Title:
Compliance Officer(Broking Firm)

Location:
Mumbai

Experience:
8–10 years

Industry:
Broking / Capital Markets

Job Overview:

The Compliance Officer will be responsible for ensuring end-to-end regulatory and exchange-related compliance for the broking business. The role requires in-depth knowledge of SEBI, NSE, BSE, and CDSL regulations, strong liaison skills with regulators, and the ability to independently manage inspections, and audits.

Key Responsibilities:

  • Circulate daily circulars/notifications issued by SEBI, NSE, BSE, and other regulators to relevant departments and ensure timely compliance within TAT.
  • Monitor, review, and respond to alerts/queries raised by stock exchanges and regulators.
  • Handle inspections from SEBI, NSE, and BSE, ensuring timely and accurate responses.
  • Maintain and update CTCL (Computer-to-Computer Link) data on exchanges.
  • Draft and reply to correspondences received from SEBI/Exchanges.
  • Oversee concurrent and internal audits of Depository Participant (DP) and stockbroking operations.
  • Manage registration, renewal, and cancellation of Authorized Persons (APs) with exchanges.
  • Upload investor complaint details with exchanges and ensure timely reporting.
  • Prepare and submit quarterly AP inspection reports, MIS, and compliance updates to the Board.
  • Handle new membership registration processes with NSE, BSE, and CDSL.
  • Prepare and submit quarterly surveillance alert reports to exchanges.

Desired Candidate Profile:

  • 8–10 years of experience in compliance within a stock broking/DP firm.
  • Strong knowledge of SEBI, NSE, BSE, and CDSL rules, regulations, and reporting requirements.
  • Experience in handling inspections, audits, and client grievance processes.
  • Proficiency in compliance monitoring, regulatory reporting, and exchange portals.
  • Strong communication, analytical, and stakeholder management skills.

Qualifications:

  • Company Secretary (CS), LLB, MBA (Finance/Compliance), or equivalent professional qualification preferred.
  • Additional certifications in securities/compliance would be an added advantage.

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