Compliance Executive – Stock Broking

1 week ago

Bengaluru, Karnataka, India Firstock 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.

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.

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