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.
Positive understanding of broking operations and regulatory compliance.
Robust 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

Benefits:
Versatile schedule

Work Location: In person

📌 Compliance Manager Mulund West
🏢 Rikhav Securities
📍 Mulund West