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




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

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