Company Description Prospera Finstocks Pvt Ltd is dedicated to empowering clients with the knowledge, tools, and confidence to make informed financial decisions and build long-term wealth. The company focuses on personalized strategies and expert guidance for both individuals and businesses. Prospera supports clients in navigating complex markets with clarity, transparency, and a client-first approach.

Team members contribute to a culture of trust, professionalism, and continuous learning in the financial services space.

Role Description This is a full-time, on-site Compliance Officer role based in Gurugram, overseeing activities related to NSE, BSE, MCX, and NCDEX.

The Compliance

Officer will monitor daily transactions and operations to ensure adherence to all relevant regulatory requirements and internal policies.

Responsibilities include maintaining and updating compliance manuals, preparing and submitting regulatory reports, and coordinating with exchanges and regulators as needed. The role involves conducting periodic audits and risk assessments, identifying gaps, and implementing corrective measures to strengthen compliance controls.

The Compliance





Officer will also provide guidance and training to internal teams on regulatory changes, support incident investigations, and help foster a strong compliance culture across the organization.

Qualifications

- Candidates should possess strong skills in Compliance Management and Regulatory Compliance, particularly related to NSE, BSE, MCX, and NCDEX.
- Candidates should possess solid Analytical Skills to review data, identify risks, and interpret regulatory requirements accurately.
- Candidates should possess effective Communication skills to collaborate with internal stakeholders, regulators, and exchanges.
- Candidates should possess foundational knowledge of Finance and capital markets, including trading, settlement, and risk processes.
- Relevant experience in brokerage, financial services, or capital markets compliance is highly beneficial.
- Skilled certifications in compliance, securities markets, or related fields (e.g., NISM certifications) are an advantage.
- Bachelor’s degree in Finance, Law, Business, or a related discipline preferred.
- Ability to work with attention to detail, maintain confidentiality, and meet regulatory deadlines consistently.

📌 Compliance Officer(NSE/BSE/MCX/NCDEX) (Gurugram)
🏢 Prospera Finstocks
📍 Gurugram