Compliance Officer

Company: SR Stock Broking Pvt. Ltd.

Location: Bara Bazar, Kolkata

Experience Required: 5+ Years

Industry: Stock Broking / Capital Markets

SR Stock Broking Pvt. Ltd. is seeking an experienced Compliance Officer to oversee regulatory compliance, ensure adherence to SEBI & Exchange guidelines, and strengthen internal compliance frameworks across operations.

• Ensure full compliance with SEBI, NSE, BSE, MCX, CDSL & NSDL regulations
• Handling Exchange inspections, SEBI audits, and regulatory correspondence
• Filing and monitoring daily, weekly, monthly, and quarterly compliances
• Drafting, reviewing, and implementing internal policies & SOPs
• Monitoring client grievances and regulatory escalations
• Ensuring compliance in KYC, AML, RMS, surveillance, and client onboarding
• Coordinating with auditors, exchanges, and regulatory authorities
• Training internal teams on compliance updates and regulatory changes
• Managing penalties, notices, and regulatory risk mitigation

• Minimum 5 years of relevant experience in stock broking compliance
• Strong knowledge of SEBI regulations, Exchange circulars, and compliance frameworks
• Experience in Trading Member / Clearing Member environment preferred
• Professional qualifications such as CS / CA / LLB will be an added advantage
• Strong communication, documentation, and regulatory interpretation skills
  

• Stable and growing organization
• Key decision-making and leadership exposure
• Competitive compensation (as per experience)
• Opportunity to work closely with management and regulators
  

Interested candidates may send their CV or connect directly via LinkedIn.

Shortlisted candidates will be contacted for further discussions.