Job Title: Manager – Broking Compliance

Reporting To: Vice President – Compliance

Location: Lower Parel, Mumbai

Position Overview The 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.

Key Responsibilities 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).

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. Audit &

• Inspection Management: Coordinate and lead internal audits, system audits, cybersecurity reviews, and regulatory inspections conducted by SEBI, Exchanges, and Depositories.

Regulatory

Dissemination &

• Training: Monitor and interpret regulatory circulars, assess operational impact, update policies, and conduct ongoing compliance training for internal stakeholders.



Surveillance &

• Ethics Governance: Oversee Anti-Money Laundering (AML) frameworks, Code of Conduct adherence, employee personal trading approvals, and trade surveillance activities. Secretarial &

• Policy Vetting: Assist in secretarial compliance under the Companies Act and Secretarial Standards; review corporate communications and marketing materials from a compliance lens.

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

Key Competencies Deep technical knowledge of SEBI broking regulations, exchange bye-laws, DP regulations, and Research Analyst (RA) guidelines. Familiarity with offshore regulatory compliance frameworks (MAS/FCA/FINRA/SEC) is a distinct advantage. Superior drafting and business communication skills. Ability to prioritize and execute multiple regulatory deadlines in a quick-paced environment.

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📌 Broking Compliance Manager (Mumbai)
🏢 Green Lane Talent Management
📍 Mumbai