Compliance Officer: The Compliance Executive ensures adherence to all regulatory and legal requirements established by governing bodies, such as SEBI (Securities and Exchange Board of India), exchanges, and other financial authorities. This role involves monitoring, reporting, and guiding to ensure compliance and mitigate risks. Ensure timely and accurate compliance with SEBI, NSE, BSE, NSDL, CDSL, and other regulatory bodies. Monitor regulatory updates and proactively implement changes in internal systems/policies. Manage day-to-day regulatory communication, clarification, and compliance mail handling. Prepare and submit statutory reports: Global Transaction Statement, STT Certificates, Networth & Annual Returns, Client Holding Statements, and other exchange/depository reports. Oversee onboarding/closure of Authorised Persons, update website/MIS, and draft Board Resolutions. Handle circular reviews, website/form updates, and coordination with internal teams for execution. Ensure periodic updates to the BO Grievance Investor Charter on the website. Coordinate with finance and IT teams for statutory filings, including Cyber Audit, VAPT, Risk-Based Supervision, etc. Independently handle concurrent audits, internal audits, inspections (onsite/offsite), and statutory audits. Manage quarterly settlement and non-trading payout activities. Track surveillance alerts, manage responses to exchanges/CDSL, and coordinate necessary actions. Submit risk assessment templates, incident reports, STRs, and other regulatory filings (monthly, quarterly, yearly). Conduct regular team discussions and implement regulatory changes with cross-functional departments. Assist senior management with risk assessments, compliance strategies, and decision-making. Skills & Qualifications Minimum 5 years of experience in stock broking compliance (SEBI/Exchange/Depository). Strong understanding of SEBI, NSE, BSE, CDSL, NSDL regulations. Proven ability to handle internal and external audits independently. Familiarity with regulatory portals and systems (Exchange & Depository). Strong analytical skills for risk assessment and compliance review. Excellent verbal and written communication skills. Ability to coordinate across departments (IT, Finance, Legal) for audit and compliance requirements.
