Compliance Executive – Stock Broking

3 days ago

Jayanagar Bengaluru Karnataka, India Firstock Broking Pvt. Ltd Full time

Job Title: Compliance Executive – Stock Broking (SEBI, NSE, BSE & CDSL)

Job Location: [BANGALORE]

Department: Compliance

Reporting To: Compliance Officer / Director

Employment Type: Full-time

Job Summary:

The Compliance Executive will be responsible for ensuring the organization's

adherence to regulatory requirements prescribed by SEBI, NSE, BSE, CDSL and other

applicable authorities. The role involves monitoring internal processes, maintaining

statutory records, preparing regulatory reports, and supporting audits/inspections to

ensure full compliance for stock broking and depository participant operations.

Key Responsibilities:

1) Ensure compliance with all rules, circulars, guidelines, and notifications issued

by SEBI, NSE, and BSE.

2) Preparation and submission of periodic regulatory reports such as ENIT returns,

monthly/quarterly compliance reports, and other exchange filings.

3) Monitoring trading member activities for regulatory adherence including,

surveillance alerts, PMLA monitoring, etc

4) Support in managing exchange/SEBI inspections, audits, and closure of

observation reports.

5) Ensure compliance with CDSL bye-laws, operating instructions, and circulars

6) Maintaining depository-related registers, audit reports, and compliance

certificates

7) Drafting, updating, and implementing compliance policies, SOPs, and internal

controls.

8) Conducting periodic internal checks and follow-ups with departments for

compliance gaps.

9) Handling investor grievances and coordinating with exchange/depository for

resolution.2 | P a g e

Skills & Competencies Required:

1) Strong understanding of SEBI regulations, stock broking compliance, exchange

rules, and DP operations.

2) Familiarity with systems such as NSE ENIT, BSE Portals, CDSL EASY/EDIS, CDSL

Web Audit portal

3) Excellent analytical skills, attention to detail, and ability to interpret regulatory

circulars.

4) Good communication and documentation skills.

5) Ability to work independently and liaise with regulators during audits and

inspections.

Qualifications & Experience:

Education: Graduate/Post-graduate in Commerce, Finance, Business Administration, or

related field.

Certifications (Preferred):

NISM-Series III A - Securities Intermediaries Compliance (Non-Fund) and NISM-Series

VII - Securities Operations and Risk Management Certification

Experience:

3+ years of experience in compliance or relative domain within a stock broking or

depository participant environment

Job Type: Full-time

Pay: ₹30, ₹50,000.00 per month

Benefits:

  • Health insurance
  • Provident Fund

Work Location: In person

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