About the Role

We are a SEBI-registered stock broking firm and Exchange Member seeking a qualified Compliance Officer to oversee regulatory adherence, manage exchange and regulator interactions, and strengthen internal controls across the organization.

Key Responsibilities

- Ensure compliance with SEBI regulations, Exchange (NSE/BSE/MCX) and Depository (CDSL/NSDL) circulars, and PMLA/AML guidelines

- File all periodic and event-based reports and returns with SEBI, Exchanges, and Depositories within prescribed timelines

- Handle Exchange/SEBI inspections, internal and concurrent audits — coordinate submissions, replies, and closure of observations

- Monitor client onboarding, KYC/re-KYC, UCC and PAN records, and risk categorization

- Oversee surveillance alerts, suspicious transaction monitoring, and STR reporting to FIU-IND

- Manage investor grievances and SCORES/ODR complaint resolution within timelines

- Review advertisements, marketing material, research content,



and client communication for regulatory compliance

- Frame, update, and implement internal compliance policies, manuals, and SOPs; conduct staff training

- Maintain compliance calendar, registers, and records; report periodically to the Board/Management

Required Skills & Qualifications

- Graduate/Postgraduate in Commerce, Law, or Finance.

- NISM Series III-A (Securities Intermediaries Compliance – Non-Fund) certification is mandatory

- Minimum 2 years of hands-on compliance experience with a broking house

- Working knowledge of SEBI Act, SCRA, Exchange bye-laws, PMLA, and Depository regulations

- Robust drafting, reporting, and documentation skills

- Proficiency in Excel and back-office/compliance software

Salary

- There is no bar for right candidate.

📌 Compliance Officer (Rajkot)
🏢 DELTA VIBE BROKING
📍 Rajkot