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
Solid drafting, reporting, and documentation skills
Proficiency in Excel and back-office/compliance software

Salary
There is no bar for right candidate.

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