Kindly note we are looking for candidates from stock broking company background. Role & responsibilities We are seeking a dynamic and experienced Senior Compliance Officer to join our Compliance team at GRD, a leading Indian stock broking firm. The successful candidate will be responsible for overseeing, managing, and ensuring that the firm adheres to regulatory requirements and internal policies, while proactively identifying and mitigating compliance risks. You will play a key role in advising senior management on regulatory matters and will be instrumental in shaping the compliance culture within the organization. Key Responsibilities: Regulatory Compliance: Ensure the firm complies with the regulatory requirements set by SEBI, NSE, BSE, RBI, and other applicable bodies. Prepare and submit mandatory reports and filings to SEBI, NSE, BSE, and other authorities & exchanges within specified deadlines. Monitor and stay up to date with changes in regulations and industry standards. Policy Development & Implementation: Develop, implement, and periodically review internal policies, procedures, and controls to align with current regulatory standards and best practices in the financial markets. Risk Management: Identify compliance risks and develop strategies to mitigate these risks through proper controls, training, and monitoring. Handling investors grievance cases directly received from exchange(s) & preparing drafts reply and submitting the same to exchanges. Audit & Reporting: Coordinate and manage internal and external audits related to compliance. Prepare and submit compliance reports to the board and regulatory authorities as required. Training & Awareness: Conduct regular training sessions for staff to raise awareness on compliance obligations, ethics, anti-money laundering (AML) policies, and other relevant compliance matters. Investigation & Enforcement: Investigate potential breaches of compliance, fraud, or misconduct. Initiate corrective actions and ensure timely resolution of compliance issues. Compliance Monitoring: Oversee the monitoring of transactions, trading activities, and the implementation of controls to detect and prevent non-compliance or unethical conduct. Advisory Role: Provide strategic advice to senior management on compliance-related matters, including regulatory changes, risk assessments, and potential impacts on the firms operations. Skills and Qualifications: Educational Qualification: Bachelors degree Finance or related field. Certifications in Compliance, Risk Management, or related fields (e.g., CISA, CISM, or equivalent) will be an advantage. Experience: Minimum 3-5 years of experience in the compliance function, preferably in a stock broking firm. Strong knowledge of Indian financial markets, stock broking regulations, and SEBI guidelines. Experience with handling regulatory inspections, audits, and investigations. Proven track record of developing compliance frameworks and implementing effective controls. Key Skills: In-depth knowledge of SEBI regulations, stock broking guidelines, KYC, and AML norms. Strong analytical, problem-solving, and decision-making abilities. Excellent communication skills (verbal and written) to interact with regulatory bodies, senior management, and clients. Attention to detail and the ability to manage multiple tasks effectively. Strong interpersonal skills with the ability to work collaboratively across different departments.
Role & responsibilities: Conduct in-depth research and analysis on derivative products including futures, options, and other structured instruments. Generate actionable insights, market commentary, and trading ideas for internal teams. Monitor global and domestic markets, tracking macroeconomic trends and their impact on derivative pricing. Develop and maintain quantitative models for pricing, volatility forecasting, and risk assessment. Prepare high-quality research reports, strategy notes, and presentations for stakeholders. Collaborate closely with traders, risk teams, and portfolio managers. Ensure data accuracy and compliance with internal research standards. About the Role We are seeking an experienced Derivative Research Analyst to join our dynamic team in Kolkata. The ideal candidate will have a strong background in derivatives markets, excellent analytical capabilities, and a passion for developing data-driven market insights. You will play a key role in researching, analyzing, and interpreting derivative instruments across asset classes to support trading, risk management, and strategic decision-making. Required Qualifications & Skills Bachelors/Masters degree in Finance, Economics, Mathematics, Statistics, or related field. Minimum 3 years of experience in derivatives research, quantitative analysis, or related roles. Strong understanding of derivative instruments, market microstructure, and valuation techniques. Proficiency in analytical tools such as Excel, Python, R, Bloomberg, or similar platforms. Excellent written and verbal communication skills. Ability to work under pressure and deliver high-quality work within deadlines. Strong problem-solving mindset with attention to detail. Preferred Skills (Good to Have) Certifications such as CFA, FRM, or NISM-Series VIII (Equity Derivatives). Experience with algorithmic trading strategies or backtesting frameworks. Familiarity with statistical modeling or machine learning concepts.