Compliance Specialist

Position: Compliance Lead — Capital Markets

Company Secretary (CS) is mandatory

About the role

We’re looking for a seasoned Compliance & Surveillance professional to lead transaction monitoring, surveillance systems and regulatory liaison for the client’s trading and broking operations. This is a hands-on role owning AML/PMLA processes, DSP/Algo approvals, exchange filings and surveillance reporting to senior management.

Key Responsibilities:

-Monitor daily trading activities and close surveillance alerts

-Handle AML, PMLA, FIU, and insider trading compliance

-Manage SEBI/NSE/BSE regulatory submissions

-Work on algo trading compliance, DMA approvals, and membership documentation

-Update and implement SEBI circulars and exchange guidelines

-Prepare compliance reports, audits, and MIS

-Work with surveillance systems and Power BI dashboards

-Coordinate effectively with regulators and internal stakeholders

Must-Have Skills

-Capital Market Compliance experience

-SEBI/NSE/BSE regulatory knowledge

-Trading Surveillance & AML/PMLA

-Algo trading compliance

-Power BI

Strong documentation & communication skills

Interested can share to manasakesiboina@prosapiens.in