Compliance Officer – (Stock Broking Company)

Position: Compliance Officer

Location: Kandivali East

Company: Promore Broking Pvt. Ltd.

Job Summary

We are seeking an experienced compliance officer to ensure adherence to regulatory requirements prescribed by SEBI, NSE, BSE, CDSL, NSDL, FIU-IND, and other regulatory authorities. The candidate will be responsible for monitoring compliance, handling audits, managing regulatory reporting, and ensuring smooth operations within the broking business.

Key Responsibilities

Regulatory Compliance

- Ensure compliance with SEBI, NSE, BSE, and Depository regulations.
- Monitor changes in regulatory requirements and implement necessary updates.
- Maintain all statutory records and compliance registers.

Exchange & Depository Reporting

- Submit periodic reports and returns to exchanges and depositaries.
- Ensure timely filing of regulatory disclosures and compliance certificates.
- Coordinate with NSE, BSE, CDSL, and NSDL for compliance-related matters.

Audit & Inspection

- Handle Internal Audit, Concurrent Audit, System Audit, and Regulatory Inspections.
- Coordinate with auditors and ensure timely closure of audit observations.
- Prepare compliance reports and corrective action plans.

Client Onboarding & KYC

- Monitor client account opening processes.
- Ensure compliance with KYC, AML, PMLA, FATCA, and CKYC requirements.
- Review high-risk accounts and suspicious transactions.

Risk Management

- Monitor client exposures and margin compliance.




- Ensure implementation of risk management policies.
- Report compliance breaches and recommend corrective actions.

Investor Grievance Handling

- Resolve investor complaints received through SCORES and Exchanges.
- Coordinate with internal departments for timely resolution.
- Maintain records of complaints and responses.

Training & Policy Implementation

- Conduct compliance awareness programs for employees.
- Develop and update compliance manuals, SOPs, and policies.
- Guide business teams on regulatory matters.

Required Qualifications

- Graduate/Postgraduate in commerce, finance, law, or a related field.
- NISM Certifications as required by SEBI and Exchanges.
- Experience in stock broking, depositary participation, compliance, or capital market operations.
- Knowledge of NSE, BSE, CDSL, NSDL, SEBI regulations, AML, and PMLA.

Required Skills

- Regulatory Compliance
- SEBI/NSE/BSE Rules & Regulations
- KYC & AML Monitoring
- Audit & Inspection Handling
- Risk Management
- Investor Grievance Resolution
- Robust Communication Skills
- Team Management

Experience

- 3 to 8 years of experience in Stock Broking Compliance, DP Operations, or Capital Market Compliance.

Salary

- As per industry standards and candidate experience.

Interested candidates may send their resumes to:

HR Email: [email protected]

Contact: 99677 90761

Pay: ₹480,000.00 - ₹600,000.00 per year

Work Location: In person

📌 Company Secretary & Compliance Officer (Kandivali East)
🏢 Promore
📍 Kandivali East