Hi ,

Prospera Finstocks P.Ltd is a reputed organisation specializing in financial services providing innovative solutions to meet clients unique needs.Based in Gurugram, the company is dedicated to delivering excellence through a blend of qualified intergrity and industry expertise.

A Compliance Officer in a stock broking firm acts as the primary guardian of regulatory integrity. They ensure the firm adheres to strict external laws, such as those governed by SEBI and Stock Exchanges, while enforcing internal policies, risk management programs, and investor protection guidelines. [1, 2, 3]

Roles and responsibilities of a Compliance Officer in a stock broking firm include:

* Regulatory Compliance & Client Compliance

* Investor Grievance Redressal

* Audits, Inspections and Risk Management





* Policy and Procedure Managment

*Monitoring and Surveillance

* Regulatory Liasion

Mandatory :- Candidates who are having more than 10 years of experience in a stock broking firm as a Compliance officer need to apply only. Must familiar of SEBI, BSE, NSE, MCX,NCDEX procedures.

CANDIDATES WHO ALREADY APPLIED NEED NOT APPLY AGAIN.

Education :- Any Bachelor's degree. preferably in finance.

Job Type- Full Time

Job Location:- Gurgaon.Work Location: In person

Work Location: In person

Work Location: In person

Pay: ₹40,000.00 - ₹100,000.00 per month

Work Location: In person

📌 Compliance Officer (Stock Broking) - NSE/BSE/MCX/NCDEX (Gurugram)
🏢 Prospera Finstocks P.ltd
📍 Gurugram