Compliance Officer(Broking Firm)

Job Title:

Location:

Experience:

Industry:

Job Overview:

The Compliance Officer will be responsible for ensuring end-to-end regulatory and exchange-related compliance for the broking business. The role requires in-depth knowledge of SEBI, NSE, BSE, and CDSL regulations, strong liaison skills with regulators, and the ability to independently manage inspections, and audits.

Key Responsibilities:

• Circulate daily circulars/notifications issued by SEBI, NSE, BSE, and other regulators to relevant departments and ensure timely compliance within TAT.
• Monitor, review, and respond to alerts/queries raised by stock exchanges and regulators.
• Handle inspections from SEBI, NSE, and BSE, ensuring timely and accurate responses.
• Maintain and update CTCL (Computer-to-Computer Link) data on exchanges.
• Draft and reply to correspondences received from SEBI/Exchanges.
• Oversee concurrent and internal audits of Depository Participant (DP) and stockbroking operations.
• Manage registration, renewal, and cancellation of Authorized Persons (APs) with exchanges.
• Upload investor complaint details with exchanges and ensure timely reporting.
• Prepare and submit quarterly AP inspection reports, MIS, and compliance updates to the Board.
• Handle new membership registration processes with NSE, BSE, and CDSL.
• Prepare and submit quarterly surveillance alert reports to exchanges.

Desired Candidate Profile:

• 8–10 years of experience in compliance within a stock broking/DP firm.
• Strong knowledge of SEBI, NSE, BSE, and CDSL rules, regulations, and reporting requirements.
• Experience in handling inspections, audits, and client grievance processes.
• Proficiency in compliance monitoring, regulatory reporting, and exchange portals.
• Strong communication, analytical, and stakeholder management skills.

Qualifications:

• Company Secretary (CS), LLB, MBA (Finance/Compliance), or equivalent professional qualification preferred.
• Additional certifications in securities/compliance would be an added advantage.