Role & responsibilities

Regulatory Compliance

- Ensure compliance with SEBI, NSE, BSE, MCX, NCDEX and Depository regulations.

- Monitor implementation of new circulars, regulatory updates and operational guidelines.

- Prepare compliance notes and advise internal departments on regulatory changes.

- Maintain statutory registers, compliance records and regulatory documentation.

Exchange Reporting

- Timely submission of all daily, weekly, monthly and quarterly reports to Exchanges and Depositories.

- Monitor regulatory deadlines and ensure zero delays in reporting.

- Coordinate with Clearing Members for operational and compliance requirements.

Audit &

- Inspection

- Coordinate Exchange, SEBI, Internal, Concurrent, System, Cyber Security and Statutory Audits.

- Prepare responses to inspection observations and ensure timely closure.

- Implement corrective and preventive actions for audit findings.

Risk &

- Surveillance

- Monitor surveillance alerts and regulatory exceptions.

- Review client onboarding, KYC, AML/PMLA compliance and risk management processes.

- Assist in implementation of internal controls and compliance monitoring frameworks.

Policy &

- Documentation

- Draft and update internal policies,



SOPs and compliance manuals.

- Maintain records required under SEBI regulations.

- Support advertisement approvals and regulatory disclosures.

Internal Coordination

- Work closely with Operations, Risk Management, IT, Business Development and Client Servicing teams.

- Conduct compliance awareness sessions for employees and business associates.

- Support automation and digital transformation initiatives for regulatory reporting.

Preferred candidate profile

- Solid knowledge of:

- SEBI Regulations

- NSE/BSE/MCX/NCDEX Circulars

- Stock Broking Operations

- Depository Operations (CDSL/NSDL)

- PMLA &
- KYC Regulations

- Risk Management Framework

- Excellent drafting and communication skills.

- Strong analytical and problem-solving abilities.

- Proficiency in MS Excel, Google Sheets and regulatory reporting tools.

- Ability to work under strict regulatory timelines

Preferred Qualification

- Chartered Accountant (CA) / Company Secretary (CS) / MBA (Finance) / LLB / M.Com or equivalent.

- Experience in Stock Broking, Capital Markets or Financial Services preferred.

📌 Compliance Executive/Manager (Jodhpur)
🏢 Good Human Consultants
📍 Jodhpur