We are looking for a detail-oriented and proactive Compliance & Operations Executive to manage regulatory compliance, operational processes, and reporting for our capital markets business. The ideal candidate should possess hands-on experience with NSE, BSE, CDSL, SEBI regulations, compliance reporting, and back-office operations.

Key Responsibilities

- Ensure timely submission of daily, monthly, quarterly, half-yearly, and annual compliance reports.

- Handle regulatory filings with NSE, BSE, CDSL, and SEBI.

- Upload daily holding, segregation, and regulatory files.

- Monitor SEBI, NSE, BSE, and CDSL circulars and implement regulatory updates.

- Manage Portfolio Management Services (PMS) operational activities.

- Perform client fund allocation and settlement processes.

- Handle depository operations through CDSL Back Office.

- Prepare and maintain compliance documentation, policies, and SOPs.

- Coordinate with auditors and regulatory authorities during inspections.

- Assist in internal audits and regulatory compliance reviews.

- Ensure adherence to operational controls and compliance standards.

Required Skills

- Knowledge of SEBI, NSE, BSE, and CDSL regulations





- Regulatory reporting and compliance management

- Capital market operations

- Depository participant operations

- Client fund management and settlements

- Portfolio Management Services (PMS)

- Internal audit coordination

- Risk assessment and compliance monitoring

- Solid documentation and reporting skills

- Excellent analytical and communication skills

Preferred Qualifications

- B.Com, Finance, PGDM, MBA (Finance), or equivalent.

- 3–6 years of experience in compliance and operations within stock broking, wealth management, PMS, depository participants, or capital markets.

- Experience working with regulatory reporting platforms and depository systems.

- Good understanding of capital market regulations and compliance frameworks.

Preferred Industry

- Stock Broking

- Wealth Management

- Capital Markets

- Investment Advisory

- Portfolio Management Services (PMS)

- Depository Participant

- Financial Services

- NBFC

Pay: ₹50,000.00 - ₹60,000.00 per month

Work Location: In person

📌 Compliance Manager & Operations Executive (Nariman Point)
🏢 The Black Box
📍 Nariman Point