Compliance Officer – Stock Broking

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Note- Candidates must be based in Delhi or open to relocating in order to apply..

Position Overview:

Compliance Officer

Key Responsibilities:

Regulatory Compliance

• Ensure the firm remains fully compliant with SEBI, NSE, BSE, NCDEX, MCX, NSDL, CDSL, and other relevant regulatory guidelines.
• Monitor and interpret regulatory changes and ensure timely implementation of required updates.
• Prepare and submit periodic compliance reports, regulatory filings, and returns as mandated.

Internal Controls & Audits

• Conduct daily/weekly/monthly transaction surveillance and compliance checks.
• Implement internal audits and manage external inspections by SEBI, stock exchanges, and statutory auditors.
• Identify compliance gaps and coordinate with departments for timely resolution and documentation.

Insider Trading & Employee Trading Policy

• Draft, implement, and monitor the Code of Conduct for Insider Trading and the Employee Trading Policy (PAD).
• Act as the Internal Compliance Officer for insider trading regulations, including coordination with the control room.
• Organise periodic training and awareness programs for employees on insider trading norms and KYC/AML policies.

KYC & AML Monitoring

• Oversee adherence to Know Your Customer (KYC) and Customer Due Diligence (CDD) requirements.
• Monitor AML compliance, including transaction alerts, suspicious transaction reports (STRs), and risk assessments.

Exchange Membership & Licensing

• Prepare documentation for applying/renewing memberships with NSE, BSE, SEBI, CDSL, etc.
• Liaise with regulatory authorities for inspections, clarifications, or correspondence.

Key Skills & Attributes:

• Strong knowledge of SEBI regulations, AML guidelines, and exchange compliance protocols.
• Experience in handling compliance for trading operations, including Equities, Derivatives, and Mutual Funds.
• Excellent attention to detail, risk awareness, and documentation standards.
• Strong interpersonal skills to communicate with regulatory bodies, internal stakeholders, and auditors.
• Ability to manage and train teams in compliance policies and governance best practices.