COMPLIANCE EXECUTIVE – STOCK MARKET / BROKING

Job Location: Mulund West, Mumbai

Industry: Stock Broking / Financial Services

Job Responsibilities

- Handle trade allocation and segregation activities as per applicable exchange and regulatory requirements.
- Prepare and verify quarterly settlement calculations and ensure timely processing.
- Handle Exchange-related queries, notices, and communications and coordinate with concerned departments for appropriate responses.
- Handle internal inspections, audits, and compliance reviews conducted by the company/exchanges/regulatory authorities.
- Maintain and provide required compliance records, reports, documents, and supporting data during inspections and audits.
- Monitor day-to-day stock market and broking compliance activities.
- Ensure compliance with applicable SEBI, NSE, BSE, MCX and other regulatory/exchange requirements, as applicable to the company.
- Coordinate with Operations, RMS, Accounts, Back Office and other departments for compliance-related matters.
- Identify compliance gaps and assist in implementing corrective and preventive actions.




- Maintain proper documentation and ensure timely closure of compliance-related observations and queries.

Required Skills & Experience
- Hands-on experience in stock broking / stock market compliance is mandatory.
- Practical experience in Allocation & Segregation.
- Experience in Quarterly Settlement calculations.
- Experience in handling Exchange queries and notices.
- Experience in handling Internal Inspections / Audits.
- Good understanding of broking operations and regulatory compliance.
- Strong documentation, analytical and communication skills.
- Candidate should be able to independently handle day-to-day compliance activities.

Preferred Candidate Experience: 2–5 years in Stock Broking / Capital Market / Compliance

Qualification: Graduate; NISM / relevant compliance certification preferred.

Key Requirement: Candidates with practical hands-on experience in Allocation & Segregation, Quarterly Settlement, Exchange Queries and Internal Inspection will be preferred.

Pay: ₹35,000.00 - ₹50,000.00 per month

Advantages

- Flexible schedule

Work Location: In person

📌 Compliance Manager (Mulund West)
🏢 Rikhav Securities
📍 Mulund West