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