Senior Compliance Officer

Job Description

Job Title: Compliance & Surveillance Executive

Department: Compliance

Industry: Stock Broking / Capital Markets

1. Branch Compliance

• Check daily trades from all branches and ensure each trade has proper proof (voice,

email, letter, etc.).

• Match data in SAKSHI and take action on any mismatches.

• Coordinate with branches and other departments to ensure all compliance rules are

followed.

2. Payout and Incentive Processing

• Release payouts and incentives for AP, RP, RM, BH, RH, ZH, EVP and entire Equity

Sales Team on time.

• Prepare and share daily/weekly/monthly payout and revenue reports.

• Check old/hold payouts as per policy and release if eligible.

• Handle calls and emails from AP/RP/Sales team and resolve queries within TAT.

• Send monthly revenue breakup emails to Referral Partners through Dhaniverse.

3. Exchange & Internal Alerts Handling

• Monitor and respond to alerts on:

• NSE Live Surveillance Dashboard
• NSE Transactional Alerts
• BSE EBOSS
• MCX Alert Portal

• Generate and close daily and quarterly internal alerts on TrackWizz within timelines.

4. AP & ISL Branch Inspection

• Conduct branch and Authorised Person (AP) inspections monthly/quarterly as per

exchange guidelines.

• Ensure all AP/ISL branches follow SEBI, NSE, BSE, MCX and internal compliance

rules.

• Follow up for documents from branches and ensure they are submitted within

deadlines.

5. Audit & Regulatory Support

• Provide all required evidence and documents for client complaints, audits, and

regulatory queries.

6. Adhoc Responsibilities

• Attend IGRP hearings and Police-related cases when required.

• Assist HOD with tasks related to exchange circulars, team coordination, and vendor

discussions.

Skills Required

• Knowledge of NSE, BSE, MCX compliance

• Understanding of broking industry rules

• Good communication and coordination

• Basic Excel and reporting skills

• Experience with TrackWizz, EBOSS, SAKSHI (preferred)

Experience

• 15 years in Compliance / Surveillance / Broking Operations.

Warm Regards

Rishu

9519644040

mehta.rishu2@indiabulls.com