- We are looking for a Compliance Manager to manage SEBI and Exchange Compliance for a Stock Broking firm.
- The role involves handling regulatory filings, responding to exchange queries, and ensuring timely compliance with SEBI, NSE, BSE, and Depository (CDSL/NSDL) guidelines.

Responsibilities

- Handle SEBI, NSE, BSE, MCX, and Depository-related compliance.
- File periodic and event-based regulatory reports and returns.
- Manage audits and inspections.
- Ensure adherence to SEBI regulations, circulars, and exchange guidelines.
- Develop and update compliance policies and SOPs.
- Coordinate with exchanges, SEBI, and auditors for compliance queries.
- Maintain compliance records, reports, and documentation.
- Liaise with internal teams to address compliance gaps 8.
- Drive employee awareness and training on compliance matters.

Requirements

- In depth knowledge of SEBI regulations, AML guidelines, and PMLA provisions.
- 2-5 years experience in SEBI or Exchange compliance with a Stock Broker.
- Robust understanding of SEBI rules, Exchange regulations, and audit requirements.

📌 Compliance Executive / Manager (Vadodara)
🏢 A C Agarwal Share Brokers
📍 Vadodara