Regulatory Compliance Officer- Stock Broking

3 days ago

Bengaluru, Karnataka, India Bullsmart Full time ₹ 9,00,000 - ₹ 12,00,000 per year

About Bullsmart

Bullsmart is a fin-tech company that uses technology to help young people start investing. We provide equal investment service opportunities for investors who have started on their investment path. We share cutting-edge financial tech tools, brilliant investment ideas, and wealth growth opportunities with young investors.

Our Values

· We provide equal investment service opportunities to beginners who can enjoy all our premier investment services.

· We offer abundant investment tools to guide investors to discover investment opportunities and make the decision the right decision.

· We deeply care about the growth of our investors. We wish to support them in understanding how to invest and foster their investment skills.

Job Summary:

We are seeking a meticulous and experienced Compliance Officer to ensure our operations strictly adhere to all regulatory requirements laid down by SEBI, Stock Exchanges, Depositories , and other governing bodies. The ideal candidate will have 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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