Job description Department: Compliance Job Summary: We are seeking a highly motivated and detail-oriented Compliance Officer to join our growing team. The successful candidate will be responsible for ensuring adherence to all applicable SEBI regulations and guidelines related to Portfolio Management Services (PMS) and Alternative Investment Funds (AIFs). This role will involve monitoring regulatory changes, conducting internal audits, statutory audits, SEBI compliances and maintaining comprehensive compliance records. Key Responsibilities: Regulatory Compliance: o Monitor and interpret all applicable SEBI regulations, circulars, and guidelines related to PMS and AIFs. o Advise business units on regulatory requirements and best practices. o Conduct regular reviews of internal policies, procedures, and controls to ensure compliance. o Develop and implement compliance programs and training modules for relevant staff. Internal Audits and Controls: o Conduct periodic internal audits to assess compliance with regulatory requirements and internal controls. o Investigate and resolve compliance issues and deficiencies. o Maintain accurate and up-to-date compliance records and documentation. Regulatory Reporting: o Prepare and file all regulatory filings with SEBI, including but not limited to: Monthly/Quarterly reports Annual returns Sebi offsite PPM audit report INVI filing Other regulatory filings as required o Ensure timely and accurate submission of all regulatory reports. Liaison with Regulators: o Interact and coordinate with SEBI and other regulatory authorities on compliance matters. o Respond to inquiries and requests from regulators. Risk Management: o Identify and assess compliance risks and implement appropriate mitigation measures. o Monitor market trends and regulatory developments to proactively address potential compliance issues. Due Diligence: Conduct due diligence on all inflows and outflows of funds to ensure compliance with AML/KYC regulations and other applicable laws. Qualifications Experience: Bachelors degree in law, CS, finance, or a related field. NISM Series III A certificate will be given Preference. 3+ years of experience in compliance within the asset management industry, with a strong focus on PMS and AIFs. In-depth knowledge of SEBI regulations and guidelines pertaining to PMS and AIFs. Strong analytical, problem-solving, and decision-making skills. Excellent communication, interpersonal, and presentation skills. Detail-oriented with strong organizational and time-management skills. Proficient in MS Office Suite (Word, Excel, PowerPoint). Experience with Wealth spectrum software will be added advantage. Role: Legal Regulatory - Other Industry Type: Financial Services Department: Legal Regulatory Employment Type: Full Time, Permanent Role Category:

Create and analyse liability, asset, and capital accounts by compiling electronic data and required documentation. Summarize and prepare financial status and transactions reports, including a profit and loss statement, and other necessary reports. Comply with all federal, state, and local protocols including legal requirements, and interpret new and existing legislation. Monitor and maintain a new audit system by implementing new policies and procedures in the finance department. Focus on tax compliance, state business registration, contract review, and non-profit tax filing. Play a vital part in the companys financial management which includes all account reconciliations and reporting to necessary parties. Tracking payments to internal and external stakeholders Preparing budget forecasts Manage all accounting transactions. Prepare budget forecasts. Publish financial statements in time. Manage monthly, quarterly, and annual closings. Reconcile accounts payable and receivable. Ensure timely bank payments. Compute taxes and prepare tax returns. Manage balance sheets and profit/loss statements. Report on the company s financial health and liquidity Audit financial transactions and documents Reinforce financial data confidentiality and conduct database backups when necessary. Finalization of Accounts, Preparation of Books of accounts etc., Attend various Internal Audits and Statutory Audits Proficient in preparing Income Tax returns, Service Tax, TDS returns etc., Maintains accounting controls by preparing and recommending policies and procedures. Qualification : Post graduate

IT Executive position Fresher to up to 1yr of exp Summary We are looking for technically skilled candidates with excellent interpersonal skills for the IT executive position. The candidate must diagnose technical issues and ensure the seamless running of the IT system. Responsibilities Provide support to all departments in hardware, software, and network related issues. Respond to tech inquiries via email, over the phone, or in person. Prepare and assign system to newly joined team members as per organization s policy. Configure, install, and maintain IT systems. Configure, install, and maintain laptops and workstations. Maintenance of IT Asset Inventory Technical Skills Knowledge of Microsoft Windows is a must. Familiar with Microsoft Office. Knowledge of IT software and networking tools. Qualifications A bachelor s degree in a relevant field, such as information technology, computer science. Up to 1 year of experience as an IT help desk support or other IT-related position. Freshers can also apply.

Manager Fixed Income Primary & Secondary Market Location: Mumbai Job Summary Key Skills: Knowledge of NCD, CP, Bonds, Fixed Income Market and Money Market instrument Experience: 8 - 12 years Specialization: Debt Instrument, Investment Banking, Money Markets, Treasury Operations Job Function: Finance Industry: Financial Services/Stockbroking Qualification: Post Graduation -CA (Chartered Accountant), M.Com. (Commerce), MBA/ PGDM (Commerce, CA (Final), Finance) School & Graduation - B.Com. (Commerce) (Not Specified) CTC: As per Industry Standards Job Description Catering to the fixed income requirements of clients by taking advantage of opportunities available in the primary & secondary bond market approaching through Reuters Messenger, Emails, Calls to the set of investors in the fixed income market. Develop and maintain long term relationship with customers (to originate NCD and CP requirements) and investors (to place originated deals) to maintain a high level of retention of the existing customers & Investors. Meeting various clients to understand & discuss the client s debt portfolio, fixed income requirement on a regular basis. Regular check from Investors on their Investment requirements and risk appetite, arranging meetings with Mutual Funds, PF Institutions, Pension Funds, Insurance Companies, Banks and other investors like AIF, Family Offices, HNI s etc to create firm relationship to get the deals executed. Origination of deals from the markets through Calling/Emails/Reuters messenger on a daily basis. Profiling, advising and preparing model debt portfolios for clients. Understanding of Secondary Market transactions like maintaining Cash Flows, Cost Sheets etc. to execute the deals on a regular basis. Utilizing our limits in G-Sec Trading and other secondary market papers to generate profit. Preparation of various MIS & Research reports/Newsletters as per Management requirement. To keep abreast with market knowledge and market intelligence via Research reports and other source available in the public domain. Desired Candidate Profile # Understanding of Balance sheet, P&L, Cashflows etc. # Brief knowledge of Mutual Funds. # Brief knowledge of NCD, CP, Bonds, Fixed Income Market and Money Market instrument Etc. # Should have good command in Excel, Word, Power Point etc. #Should be able to use various websites at a time. #Good Communication Skill

Sr Manager/AVP Fixed Income Primary & Secondary Market Location: Mumbai Job Summary Key Skills: Knowledge of NCD, CP, Bonds, Fixed Income Market and Money Market instrument Experience: 8 - 12 years Specialization: Debt Instrument, Investment Banking, Money Markets, Treasury Operations Job Function: Finance Industry: Financial Services/Stockbroking Qualification: Post Graduation -CA (Chartered Accountant), M.Com. (Commerce), MBA/ PGDM (Commerce, CA (Final), Finance) School & Graduation - B.Com. (Commerce) (Not Specified) CTC: As per Industry Standards Job Description Catering to the fixed income requirements of clients by taking advantage of opportunities available in the primary & secondary bond market approaching through Reuters Messenger, Emails, Calls to the set of investors in the fixed income market. Develop and maintain long term relationship with customers (to originate NCD and CP requirements) and investors (to place originated deals) to maintain a high level of retention of the existing customers & Investors. Meeting various clients to understand & discuss the client s debt portfolio, fixed income requirement on a regular basis. Regular check from Investors on their Investment requirements and risk appetite, arranging meetings with Mutual Funds, PF Institutions, Pension Funds, Insurance Companies, Banks and other investors like AIF, Family Offices, HNI s etc to create firm relationship to get the deals executed. Origination of deals from the markets through Calling/Emails/Reuters messenger on a daily basis. Profiling, advising and preparing model debt portfolios for clients. Understanding of Secondary Market transactions like maintaining Cash Flows, Cost Sheets etc. to execute the deals on a regular basis. Utilizing our limits in G-Sec Trading and other secondary market papers to generate profit. Preparation of various MIS & Research reports/Newsletters as per Management requirement. To keep abreast with market knowledge and market intelligence via Research reports and other source available in the public domain. Desired Candidate Profile # Understanding of Balance sheet, P&L, Cashflows etc. # Brief knowledge of Mutual Funds. # Brief knowledge of NCD, CP, Bonds, Fixed Income Market and Money Market instrument Etc. # Should have good command in Excel, Word, Power Point etc. #Should be able to use various websites at a time. #Good Communication Skill

ob Title: Compliance Officer Company Name - CapitalSquare Financial Services Private Limited Location: Mumbai Reporting To: Compliance Head / Senior Management About the Company: CapitalSquare Financial Services Private Limited is a dynamic trading member registered with the Bombay Stock Exchange (BSE). We specialize in delivering comprehensive trading solutions while adhering to the highest standards of regulatory compliance. We are committed to maintaining transparency, integrity, and excellence in all our operations to serve our clients better. Job Summary: The Compliance Officer will be responsible for ensuring that the trading member firm complies with all regulatory requirements laid down by NSE, BSE, SEBI (Securities and Exchange Board of India), and other relevant authorities. The role involves monitoring trading activities, reviewing internal policies, conducting audits, and ensuring adherence to legal and regulatory frameworks to mitigate compliance risks. Key Responsibilities: Monitor and ensure compliance with NSE, BSE, SEBI regulations, and other applicable laws. Implement and maintain the firm s compliance framework and internal control systems. Conduct periodic compliance audits and risk assessments related to trading activities. Review and update compliance manuals, policies, and procedures. Liaise with regulatory bodies during inspections, audits, or investigations. Train employees and senior management on regulatory requirements and internal policies. Report any breaches or irregularities to senior management and regulatory authorities as required. Maintain proper records of compliance-related documentation and reports. Oversee client onboarding procedures, including KYC (Know Your Customer) and AML (Anti-Money Laundering) compliance. Keep abreast of changes in securities laws, regulations, and industry best practices. Coordinate with internal departments (Legal, Risk, Finance) to ensure compliance is embedded across operations. Qualifications & Experience: Bachelor s degree in Law, Commerce, Finance, or related field. Certification in Compliance (such as NISM Certifications, ICAI Diploma, or equivalent) preferred. Minimum 2-5 years of experience in compliance within the securities market, preferably with exposure to NSE and BSE trading members. Sound knowledge of SEBI regulations, circulars, and relevant laws governing stock market operations. Familiarity with KYC/AML guidelines and reporting standards. Skills & Competencies: Strong understanding of regulatory compliance and risk management frameworks. Excellent analytical and problem-solving skills. Attention to detail and high ethical standards. Effective communication and interpersonal skills. Ability to work independently and as part of a team. Proficiency in MS Office and compliance management software/tools. Reporting & Coordination: Reports to: Compliance Head / Senior Management Coordinates with: Legal, Risk, Operations, Internal Audit, and external regulators. Additional Information: Must ensure confidentiality and integrity in handling sensitive information. Ability to adapt quickly to regulatory changes and evolving business environments.

Key Responsibilities Single-point claim coordination: Act as the dedicated contact for motor claims third-party, own damage, and theft to ensure smooth communication between client, insurer, police, surveyors, and garages . Claim filing & documentation: Promptly report accidents/thefts to police and insurers; collect FIRs, policy details, driver statements, vehicle photos, keys (for theft), and other required documents . Survey & assessment management: Work with surveyors to assess damage; review findings jointly and determine claim admissibility, settlement value, and NCB implications . Negotiation & settlement: Liaise with insurers to pursue cashless workshops or reimbursement; negotiate and finalize settlements effectively . Process enhancement: Develop and refine SOPs for motor claims; ensure efficient resource allocation and monitor key process metrics like TAT and claim costs . Qualifications & Experience Bachelor s degree (Insurance/Finance preferred). 2 5 years of hands on motor insurance claims experience (brokerage, TPA, insurer, or fleet operations). Strong familiarity with IRDAI regulations, policy terms, and required documentation. Excellent coordination and communication skills. Skilled in negotiation and analytical decision-making. Basic IT proficiency; experience with claims management systems desirable.

Debt Syndication - Sr Associate(s) CapitalSquare is seeking a skilled, high-potential candidate for our Debt Syndication vertical Desk. He will be responsible for raising debt from Banks, NBFCs and Financial Institutions for various corporates across the industries. This role requires strong analytical and verbal skill and ability to work under desired timelines. Candidates must be focused and strongly self-motivated, previous relevant experience is must, experience in origination would be an added advantage. Duties and Responsibilities Working on debt raising transactions for our Corporate Finance Clients in multiple sectors; Gathering and synthesizing financial and operating information about companies and industries; Preparation of Financial Model, Information Memorandum, Project Reports and related documents Preparation of Presentation and Pitch Books Coordination and Liaising with bank/NBFCs/FIs Maintaining and Developing New relationships with bank/NBFCs/FIs Assisting in the legal documentation, due-diligence and closing process of the transaction through constant contact with the Clients and debt providers. Educational Qualifications CA or equivalent thereof is preferable. MBA with engineering background can also apply. Experience 4 to 8 years Skill Strong analytical and numerical skills that put you at ease with financial data; Proven team player with the ability to manage a wide range of responsibilities; Results-driven and perform well under pressure and against tight deadlines. Articulate complex ideas simply and summarize them effectively; ability to communicate Effectively. superior computer skills (Word, Excel, Outlook, PowerPoint, Desk Research, etc.) Proficiency level command in English Committed to excellence in your work and maintain high professional and ethical standards.

Tele Sales - Executive Location: Andheri East >Talking to potential customers and selling motor insurance. >Revenue generation through tele sales >Should be able to maintain data >co-ordination with the insurers and customers.

Urgent Hiring: Accounts Executive Location: Andheri East, Mumbai We are urgently looking for a dedicated and detail-oriented Accounts Executive to join our growing team! Key Responsibilities: Handling day-to-day accounting operations Preparation of vouchers, invoices, and bank reconciliations Managing TDS, GST filings & statutory compliances Supporting month-end closing activities Requirements: B.Com/M.Com or equivalent qualification 1-3 years of experience in accounting Strong knowledge of Tally, Excel & taxation Immediate joiners preferred To apply, send your CV to: [ hr@capitalsquare.in ] Contact: [7678039091] Join us at CapitalSquare and be part of a professional and dynamic environment!