Job Summary:

Responsible for managing regulatory compliance, exchange operations, surveillance activities, and reporting requirements for NSE, BSE, CDSL, SEBI, and other regulatory authorities. The role involves monitoring member compliance, reviewing risk parameters and alerts, coordinating regulatory submissions, managing depository and PMS-related operations, and ensuring adherence to prescribed SLA and TAT.

Key Responsibilities:

Regulatory Compliance & Exchange Operations
Managed daily regulatory filings, holding & segregation submissions, and compliance reporting for NSE, BSE and CDSL.
Handled regulatory queries, circulars, submissions, and compliance requirements in line with SEBI, NSE, BSE and CDSL regulations.
Managed PMS accounts, CDSL/CDAS operations, client settlements, and N-MASS fund management activities.




Monitored margin shortfall, MTM, running account, pledge, inactive client, NCL buy/sell and off-market transaction alerts.
Conducted stock reconciliation, risk assessment, surveillance and offsite supervision of members.
Verified half-yearly net worth submissions and reviewed member submissions against established risk parameters.
Prepared penalty/intimation letters for non-compliance and ensured timely closure of observations.
Ensured strict adherence to regulatory timelines, SLA and TAT while coordinating with internal teams and exchange members.

Pay: ₹60,000.00 - ₹70,000.00 per month

Work Location: In person

📌 Stock Broker Mumbai
🏢 Dindayal Biyani Securities
📍 Mumbai