Job DescriptionJob Title: Manager – Broking Compliance
NReporting To: Vice President – Compliance
NLocation: Lower Parel, Mumbai
NPosition Overview
nThe Manager – Broking Compliance will oversee end-to-end regulatory compliance, secretarial governance, and regulatory reporting for Institutional Broking, Depository Participant (DP) services, Research Analysis, and Offshore operations. This role acts as a primary liaison with key market regulators and ensures robust adherence to domestic and international regulatory standards.
NKey Responsibilities
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- Regulatory Liaison: Act as a key interface with SEBI, Stock Exchanges (NSE/BSE), Depositories (NSDL/CDSL), and offshore regulators (e.G., MAS, FCA, SEC, FINRA). N
- Statutory Submissions &MIS;: Ensure accurate and timely submission of daily, weekly, monthly, quarterly, and annual regulatory filings, maintaining comprehensive compliance MIS trackers for senior management. N
- Audit & Inspection Management: Coordinate and lead internal audits, system audits, cybersecurity reviews,



and regulatory inspections conducted by SEBI, Exchanges, and Depositories. N
- Regulatory Dissemination & Training: Monitor and interpret regulatory circulars, assess operational impact, update policies, and conduct ongoing compliance training for internal stakeholders. N
- Surveillance & Ethics Governance: Oversee Anti-Money Laundering (AML) frameworks, Code of Conduct adherence, employee personal trading approvals, and trade surveillance activities. N
- Secretarial & Policy Vetting: Assist in secretarial compliance under the Companies Act and Secretarial Standards;
review corporate communications and marketing materials from a compliance lens. N

nQualifications & Experience
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- Education: Graduate/Post-Graduate in Law, Commerce, or Finance. CS qualification is highly desirable. N
- Experience: 4–5 years of core compliance experience within a reputed institutional equity broking firm or capital markets setup. N

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