Chief Compliance Officer | Stock Broking Startup | SEBI Compliance

Hyderabad or Mumbai

Company: Early Bootstrap Startup

Industry:

Type:

About the Client

Our client is a new-age stock broking startup building a technology-driven investment and trading platform. The firm is in the process of obtaining SEBI registration and related regulatory approvals and is looking for a seasoned professional to lead and oversee all compliance functions.

Key Responsibilities

• Lead and manage all regulatory and compliance activities for the stock broking business in accordance with SEBI, NSE, BSE, and other statutory bodies.
  
• Ensure the companys adherence to all applicable laws, circulars, notifications, and guidelines issued by SEBI and stock exchanges.
  
• Liaise with SEBI, exchanges, depositories, and other regulators for obtaining licenses, approvals, and responding to regulatory queries or inspections.
  
• Develop, implement, and monitor internal policies and procedures to ensure ongoing compliance.
  
• Supervise regulatory reporting, audits, inspections, and ensure timely submissions of required returns and disclosures.
  
• Review and approve marketing, communication, and product-related materials to ensure regulatory compliance.
  
• Establish internal control mechanisms and risk management systems to prevent violations.
  
• Provide compliance training and guidance to teams across business, operations, and technology.
  
• Keep management informed of regulatory developments and their impact on business operations.
  
• Act as the key point of contact for all SEBI/NSE/BSE/NSDL/CDSL compliance matters.
  

Qualifications & Experience

• 12+ years of experience in compliance, legal, or regulatory roles in stock broking, capital markets, or related financial services.
  
• In-depth knowledge of SEBI regulations, stock broking license requirements, AML/KYC norms, and exchange guidelines.
  
• Prior experience handling SEBI inspections, audits, and regulatory filings.
  
• Excellent understanding of trading systems, client onboarding processes, and risk management in a brokerage setup.
  
• Strong interpersonal and communication skills for interacting with regulatory authorities and internal stakeholders.
  
• LLB, CS, or Chartered Accountant qualification preferred.