Company Description ANUPAM STOCK BROKING PRIVATE LIMITED is a financial services company headquartered at Pushpa Park, Daftary Road, Malad East, Mumbai, Maharashtra, India. The firm operates in the stock broking and broader financial services domain, serving clients in one of India’s key financial hubs. Team members work in a fast-paced, regulated environment that emphasizes accuracy, transparency, and client trust. The company offers opportunities to contribute to robust compliance and governance practices that support sustainable business growth and sound risk management.
Role Description This is a full time, in office Compliance Officer role based in Mumbai. The Compliance Officer will monitor and implement internal policies and procedures to ensure adherence to regulatory requirements and industry standards. Daily responsibilities include reviewing transactions and documentation, conducting compliance checks, maintaining regulatory records, and preparing reports for management and regulators. The role involves staying updated on relevant laws and guidelines,



identifying potential compliance risks, and recommending corrective actions. The Compliance Officer will collaborate with operations, finance, and management teams, deliver compliance training, and support audits and inspections.
Qualifications
Candidates should possess strong skills in Compliance Management and Regulatory Compliance, including policy implementation and monitoring.
Candidates should possess solid Analytical Skills to review data, identify risks, and interpret regulatory requirements.
Candidates should possess effective Communication skills to convey compliance expectations clearly and collaborate with internal and external stakeholders.
Candidates should possess foundational knowledge of Finance, particularly in capital markets and stock broking operations.
Relevant qualifications such as a bachelor’s degree in finance, law, commerce, or a related field; qualified certifications in complian

📌 Compliance Officer (Mumbai)
🏢 ANUPAM STOCK BROKING PRIVATE
📍 Mumbai