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

Job Title: Compliance Executive – Stock Broking (SEBI, NSE, BSE & CDSL)
Job Location: [BANGALORE]Department: ComplianceReporting To: Compliance Officer / DirectorEmployment Type: Full-timeJob Summary:The Compliance Executive will be responsible for ensuring the organization’sadherence to regulatory requirements prescribed by SEBI, NSE, BSE, CDSL and otherapplicable authorities. The role involves monitoring internal processes, maintainingstatutory records, preparing regulatory reports, and supporting audits/inspections toensure full compliance for stock broking and depository participant operations.Key Responsibilities:1) Ensure compliance with all rules, circulars, guidelines, and notifications issuedby 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, etc4) Support in managing exchange/SEBI inspections, audits, and closure ofobservation reports.5) Ensure compliance with CDSL bye-laws, operating instructions, and circulars6) Maintaining depository-related registers, audit reports, and compliancecertificates7) Drafting, updating, and implementing compliance policies, SOPs, and internalcontrols.8) Conducting periodic internal checks and follow-ups with departments forcompliance gaps.9) Handling investor grievances and coordinating with exchange/depository forresolution.2 | P a g eSkills & Competencies Required:1) Strong understanding of SEBI regulations, stock broking compliance, exchangerules, and DP operations.2) Familiarity with systems such as NSE ENIT, BSE Portals, CDSL EASY/EDIS, CDSLWeb Audit portal3) Excellent analytical skills, attention to detail, and ability to interpret regulatorycirculars.4) Good communication and documentation skills.5) Ability to work independently and liaise with regulators during audits andinspections.Qualifications & Experience:Education: Graduate/Post-graduate in Commerce, Finance, Business Administration, orrelated field.Certifications (Preferred):NISM-Series III A - Securities Intermediaries Compliance (Non-Fund) and NISM-SeriesVII - Securities Operations and Risk Management CertificationExperience:3+ years of experience in compliance or relative domain within a stock broking ordepository participant environment

Job Type: Full-time

Pay: ₹30,000.00 - ₹50,000.00 per month

Benefits:

• Health insurance
• Provident Fund

Work Location: In person