Key Responsibilities
 Ensure timely submissions of periodic compliance reporting to SEBI, Exchanges, and
Depositories.
 Tracking of regulatory changes/ circulars from regulatory authorities on regular basis,
conducting impact analyses and implementing the same.
 Maintain the updated Compliance Calendar to track all applicable compliance reporting,
review and updating the policies.
 Handle regulatory inspections initiated by SEBI, Stock Exchanges, or Depositories.
 Manage Internal Audits, System/ Cybersecurity Audits etc.
 Handling off site alerts/enquiries from exchanges, draft formal replies and provide
comprehensive documentation to rectify and closure of any inspection observations or
systemic gaps.
 Oversee compliances relating to KYC (online KYC), PMLA, surveillance frameworks and




current products development.

Qualifications
Graduate or Postgraduate in Commerce, Finance, Law or MBA.
 Minimum 5 years of core experience handling Stock Broking, Depository compliances.
 NISM Certifications such as: NISM Series VII (Securities Operations and Risk
Management), NISM Series IIIA (Securities Intermediaries Compliance (Non-Fund)
Certification Examination) are preferred.
 Exhaustive understanding of the SEBI Regulations, Stock exchange guidelines/
circulars, Depository Guidelines.
 Proficiency with Exchange Member Portals, Depository Portals, MS Excel capability.

📌 Manager Exchange Compliance (Delhi)
🏢 OJ Financial Services
📍 Delhi