Role & responsibilities

Regulatory Compliance
Ensure compliance with SEBI, NSE, BSE, MCX, NCDEX and Depository regulations.
Monitor implementation of current 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.
Robust 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