Job Title Compliance Officer Department Compliance LegalReports To Head of ComplianceLocation Connaught Place DelhiEmployment Type Full-time Job Summary The Compliance Officer ensures that the broking house operates in full compliance with all regulatory requirements as prescribed by SEBI NSE BSE MCX CDSL NSDL and other governing bodies This role involves monitoring internal policies regulatory filings client documentation trade surveillance and compliance audits to protect the firm s integrity and client interests Key Responsibilities Regulatory Compliance Ensure adherence to SEBI NSE BSE MCX and other applicable regulations Keep updated with changes in regulatory frameworks and implement necessary changes in operations File regulatory reports SEBI returns exchange filings on time Audit Reporting Prepare and assist in internal and external audits Maintain proper records for inspections by SEBI Exchanges and Depositories Liaise with auditors and regulators for any inquiries or clarifications Risk Management Surveillance Monitor client trades for suspicious activity insider trading and AML violations Implement controls to detect and prevent market manipulation or front-running Generate alerts and investigate red flags Internal Policy Implementation Draft and update compliance manuals SOPs and internal guidelines Train staff on compliance protocols and ethical standards Conduct regular compliance checks and reviews Client Documentation Verify and review KYC account opening forms and related documentation Ensure client onboarding complies with SEBI and exchange norms Monitor client risk profiles and maintain updated records Liaison Communication Act as a point of contact between the company and regulatory authorities Handle client and regulatory complaints related to compliance matters Qualifications Skills Bachelor s degree in Commerce Finance Law or related field Minimum 3-5 years of experience in a compliance role within a broking house Strong understanding of SEBI and exchange rules and circulars Excellent knowledge of AML KYC norms Attention to detail and high ethical standards Valuable communication and documentation skills Proficient in MS Office and compliance tools software Job Type Full-time Work Location In person Speak with the employer 91 (phone hidden)

📌 Complience Officer (New Delhi)
🏢 Important Business
📍 New Delhi