Compliance Manager

About the Role:

Stockology Securities Pvt Ltd are looking for an experienced Compliance Officer to manage and oversee compliance for Stock Broker Regulatory Compliances (TM/DP/Clearing) and Portfolio Management Services business. The role involves ensuring adherence to SEBI regulations, internal policies, and providing guidance to business teams.

Key Responsibilities:

Ensure compliance with SEBI regarding Stock Broker Regulatory Compliances, regulations, circulars, and reporting requirements.

Draft, implement, and update compliance policies and internal controls.

Monitor KYC/AML processes and investor onboarding.

Handle regulatory inspections, audits, and filings.

Provide compliance advisory support to investment, sales, and operations teams.

Conduct regular compliance reviews and maintain proper documentation.

Requirements:

Minimum 5 years of experience in compliance within Stock Broker Regulatory Compliances

Strong understanding of SEBI regulations, AML/KYC norms, and investment operations.

Professional qualifications such as CS/LLB/MBA (Finance) preferred.

• Strong communication and stakeholder management skills.