Compliance Officer

Job Title: Compliance Officer Broking Operations

Location: Bengaluru preferred, Giftcity

Experience:

Industry

Role Overview

We are seeking a proactive Compliance Officer with strong experience in the broking industry, responsible for ensuring full regulatory compliance across depository, client, and trading operations. The role demands deep understanding of exchange compliance (BSE/NSE/MCX/MSEI), client onboarding, and risk monitoring, while maintaining seamless coordination with exchanges and depositories.

Key Responsibilities

Manage end-to-end client compliance in line with SEBI, NSE, BSE, MCX, and depository (NSDL/CDSL) regulations.
Handle KYC, DP operations, clearing and trading member compliance.Oversee regulatory reporting, audits, and inspections by exchanges and depositories.Ensure timely filing of compliance reports, investor grievance redressal, and internal monitoring.Liaise with exchanges, depositories, and regulatory authorities for queries and clarifications.Maintain RMS-related compliance processes and support surveillance activities.Train and guide internal teams on compliance standards and updates.

Required Qualifications & Skills

5–10 years of relevant experience in the broking or depository operations domain.
Must have worked on client compliance; proprietary trading exposure is an advantage.Experience with at least two exchanges (BSE/NSE/MCX/MSEI) is mandatory.Strong knowledge of SEBI regulations, KYC norms, and DP operations.Good understanding of clearing member processes and audits.NISM certifications in Depository Operations, Compliance, or Risk Management preferred.Excellent communication and stakeholder management skills.Willing to relocate to GIFT City.Preferred BackgroundPrior experience with a stockbroking firm or Depository Participant (DP).Exposure to both client and prop desk compliance (client is mandatory).Ability to handle inspections and audit queries independently.Strong documentation, reporting, and governance orientation.