Key Responsibilities

- Manage day-to-day member-level compliance activities for stock/commodity broking operations.
- Handle exchange reporting and regulatory submissions within prescribed timelines.
- Ensure compliance with SEBI, MCX, NCDEX and other applicable exchange regulations.
- Monitor and implement SEBI/exchange circulars, guidelines and regulatory changes.
- Coordinate with internal teams for effective implementation of regulatory requirements.
- Oversee RMS (Risk Management System) and surveillance-related compliance.
- Monitor trading activities and ensure adherence to applicable regulatory and exchange requirements.
- Prepare and maintain compliance records, reports, registers and documentation.
- Handle regulatory inspections, audits and queries from exchanges and regulatory authorities.

Desired profile of the candidate

Preferred background:

- Compliance / Operations in a stock or commodity broking firm
- MCX/NCDEX experience
- Exchange reporting
- RMS and surveillance
- Member-level compliance
- Regulatory inspections/audits
- SEBI/exchange circular implementation

Location of Candidate: Delhi ncr, Noida, Greater Noida, Gurugram, Ghaziabad

📌 Compliance & Operations Manager (Greater Noida)
🏢 DPS Infratech
📍 Greater Noida