Position: Compliance Officer

Industry: Stock Market / Stock Broking / Financial Services

Location: Mumbai

Employment Type: Full-Time

Experience: 2–5 Years

Requirement - NISM (IIIA) COMPLIANCE OFFICER CERTIFICATE

Job Summary

We are looking for a responsible and detail-oriented Compliance Officer to ensure that the company’s trading and business activities comply with applicable SEBI, Stock Exchange, regulatory, and internal compliance requirements.

The candidate will be responsible for monitoring trading activities, maintaining compliance records, coordinating with exchanges and regulatory teams, and ensuring timely submission of required reports and documentation.

Key Responsibilities

- Monitor day-to-day trading activities for compliance with applicable rules and regulations.
- Ensure adherence to SEBI, NSE, BSE, MCX and other applicable regulatory requirements.
- Monitor client and dealer activities for suspicious, unusual, or non-compliant transactions.
- Review trading records, orders, positions, and related compliance reports.
- Ensure timely preparation and submission of regulatory and exchange-related reports.
- Coordinate with NSE, BSE, MCX, SEBI, depositories, and other regulatory authorities whenever required.
- Maintain proper records of compliance-related documents, registers, reports, and communications.
- Assist in conducting internal compliance checks and audits.
- Monitor compliance with KYC, AML, client onboarding, and other applicable procedures.
- Ensure proper documentation and approval of new products, processes, and business activities.
- Identify compliance risks and recommend appropriate corrective actions.
- Follow up on regulatory/exchange circulars and communicate relevant changes to concerned departments.
- Coordinate with Operations, RMS, Dealing, Accounts, IT, and Management teams on compliance matters.




- Assist in handling regulatory inspections, audits, and queries.
- Ensure timely closure of compliance observations and exceptions.
- Maintain confidentiality of client and company information.

Required Skills
- Good knowledge of Stock Market / Capital Market / Commodity Market operations.
- Strong understanding of SEBI and stock exchange compliance requirements.
- Knowledge of NSE, BSE and MCX rules, circulars, and procedures.
- Knowledge of KYC, AML, surveillance, and trading compliance.
- Good analytical and problem-solving skills.
- Solid attention to detail.
- Excellent documentation and communication skills.
- Proficiency in MS Excel, Word, and Email.
- Ability to work under deadlines and handle regulatory requirements efficiently.

Educational Qualification
- Graduate in Commerce, Finance, Management, Economics, or a related field.
- Certification such as NISM will be preferred.
- Relevant compliance/regulatory certifications will be an added advantage.

Experience 2–5 years of experience in compliance, stock broking, capital markets, commodity markets, or a related financial-services role.

Preferred Candidate

- Experience in a Stock Broking / Trading / Commodity Broking Company.
- Familiarity with NSE, BSE and MCX compliance processes.
- Experience handling exchange communications, audits, regulatory reporting, and compliance documentation.
- Candidates with strong knowledge of NISM certifications will be preferred.

Salary ₹40,000 – ₹1,00,000 per month, depending on experience, qualifications, and knowledge.

Apply Now

Interested candidates can share their updated CV/resume with relevant experience and qualifications.

Note: Candidates with relevant experience in stock market compliance and regulatory operations will be given preference.

Pay: ₹40,000.00 - ₹100,000.00 per month

Work Location: In person

📌 Compliance Officer (Ahmedabad)
🏢 KWIKWIZ ALPHA PRIVATE
📍 Ahmedabad