Compliance Officer Stock Broking

Company: Jevin Stock Broker Private Limited
Department: Compliance
Location: Ahmedabad
Experience: Relevant experience in Stock Broking / Capital Market Compliance

Job Description

We are looking for an experienced Compliance Officer with strong hands-on experience in the compliance function of a SEBI-registered Stock Broker / Depository Participant.

The candidate will be responsible for managing regulatory compliances, reporting, inspections, audits and day-to-day compliance activities independently.

Key Responsibilities

- Handling margin-related regulatory reporting, including applicable Margin and MTF reporting and submissions.
- Managing day-to-day regulatory compliances and submissions applicable to a Stock Broking Company.
- Solid working knowledge of SEBI, NSE, BSE, MCX and CDSL regulatory requirements and circulars.
- Handling ENIT and other exchange/regulatory reporting platforms and submissions.
- Handling PMLA, KYC and AML-related compliances applicable to Stock Brokers and Depository Participants.
- Coordinating and handling Internal Audits, including closure and follow-up of audit observations.
- Managing NSE / BSE / MCX / SEBI / CDSL inspections, including preparation, coordination, submission of information/documents and compliance with inspection observations.
- Conducting and monitoring Branch / Authorised Person (AP) inspections and ensuring closure of observations.
- Handling compliance requirements relating to Equity, Derivatives and Commodity Derivatives segments.
- Handling compliance aspects of Depository Participant (DP) operations and related CDSL requirements.
- Drafting, reviewing and periodically updating the Company's policies, SOPs and compliance frameworks.
- Handling compliance requirements relating to NNF, CTCL and Direct Market Access (DMA).
- Handling Algorithmic Trading / Algo-related compliances, including applicable regulatory and exchange requirements.
- Monitoring regulatory circulars,



notifications and amendments and ensuring timely implementation within the organisation.
- Coordinating with RMS, Operations, IT, DP, Accounts and other departments for implementation of regulatory requirements.
- Maintaining proper records and documentation of regulatory submissions, compliances, inspections and audit observations.
- Ensuring timely closure of compliance gaps and observations identified during audits, inspections and internal reviews.
- Providing compliance guidance to management and operational teams on applicable regulatory requirements.

Preferred Candidate Profile

- Relevant experience in a SEBI-registered Stock Broking Company is preferred.
- Strong and practical knowledge of Stock Broking Compliance, Regulatory Reporting, Internal Audit and Exchange/SEBI Inspections.
- Hands-on experience in Margin Reporting, MTF, KYC/AML/PMLA, Branch/AP Inspection and DP Compliance.
- Good understanding of Equity, Equity Derivatives and Commodity Derivatives operations and compliance requirements.
- Knowledge of Commodity Delivery and related operational/compliance requirements will be an advantage.
- Experience in handling NSE, BSE, MCX and CDSL compliance requirements.
- Working knowledge of NNF, CTCL, DMA and Algorithmic Trading compliances will be preferred.
- Ability to independently interpret regulatory circulars and implement applicable requirements.
- Strong documentation, analytical and communication skills.
- Candidate should be capable of handling the compliance function efficiently and independently, with minimal supervision.
- Preference will be given to candidates who have worked extensively in the Compliance / Audit function of a Stock Broker rather than candidates with only theoretical regulatory knowledge.

Ideal Candidate

The ideal candidate should have end-to-end practical knowledge of Stock Broking Compliance and should be capable of independently managing day-to-day regulatory compliance, reporting, audits, inspections and regulatory submissions of a Stock Broking Company and its associated DP operations.

Perks and benefits

AS PER INDUSTRY STANDARS

📌 Compliance Officer (Ahmedabad)
🏢 Jevin Stock Broker
📍 Ahmedabad