Institutional Equities – Compliance Manager

Job Summary

Institutional Equities – Compliance

Key Responsibilities

1. Regulatory Compliance

• Ensure compliance with

  SEBI (Stock Brokers) Regulations, PMLA, SEBI (Prohibition of Insider Trading) Regulations, SEBI (LODR)

  , and circulars issued by

  SEBI, NSE, and BSE

  .
• Monitor adherence to SEBI rules on

  algorithmic trading, co-location, client onboarding (KYC/AML), and institutional trade execution

  .
• Track regulatory updates and implement necessary internal changes to maintain compliance.

2. Trade Surveillance & Monitoring

• Monitor institutional equity trades for potential

  market abuse, insider trading, front-running, and circular trading

  using surveillance tools (e.g., NSE/BSE alerts).
• Collaborate with surveillance and risk teams to investigate unusual trading patterns and generate

  Suspicious Transaction Reports (STRs)

  , if required.

3. Compliance Monitoring

• Act as the first point of contact for the

  institutional equities desk (sales & trading)

  on regulatory or compliance-related queries.
• Provide guidance on interpretation and application of SEBI rules (e.g.,

  DDP rules, FPI participation limits, AIF restrictions

  ).
• Conduct

  sample testing and periodic reviews

  of equity trades and related processes.
• Maintain accurate

  records, documentation, exception reporting, and corrective action logs

  .

4. Training & Awareness

• Conduct periodic training sessions for institutional equity desk staff on

  regulatory requirements and internal code of conduct

  , including SEBI’s insider trading norms.

5. Internal & External Coordination

• Support

  internal audits, SEBI/NSE/BSE inspections, and compliance reviews

  .
• Work closely with

  Legal, Surveillance, KYC, and Risk teams

  to manage regulatory expectations and ensure effective governance.

Qualifications

Education

• Graduate/Postgraduate in

  Law, Finance, or Commerce

  .
• Additional certifications such as

  NISM Series IIIA (Compliance Officer Module)

  or

  NISM Series VII (Securities Operations & Risk Management)

  preferred.

Experience

• 5–8 years of relevant experience in

  compliance within Institutional Equities, Broking, or Investment Banking

  .
• Experience dealing with

  SEBI, NSE, BSE

  , with knowledge of institutional investor categories (

  FPIs, Mutual Funds, AIFs, PMS

  ).

Skills & Competencies

• Strong understanding of

  SEBI regulations, equity market structure, and institutional trading norms

  .
• High integrity, attention to detail, and strong analytical ability.
• Excellent communication skills with the ability to interact effectively with

  trading desks, senior management, and regulators

  .
• Proficiency in

  MS Excel, Word

  , and exposure to

  trading/surveillance systems

  .

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