Job DescriptionKey Responsibilities

NEnsure timely submissions of periodic compliance reporting to SEBI, Exchanges, and

NDepositories.

nTracking of regulatory changes/ circulars from regulatory authorities on regular basis,

Nconducting impact analyses and implementing the same.

NMaintain the updated Compliance Calendar to track all applicable compliance reporting,

Nreview and updating the policies.

NHandle regulatory inspections initiated by SEBI, Stock Exchanges, or Depositories.

NManage Internal Audits, System/ Cybersecurity Audits etc.

NHandling off site alerts/enquiries from exchanges, draft formal replies and provide

Ncomprehensive documentation to rectify and closure of any inspection observations or

Nsystemic gaps.

nOversee compliances relating to KYC (online KYC), PMLA, surveillance frameworks and





Nnew products development.

NQualifications

nGraduate or Postgraduate in Commerce, Finance, Law or MBA.

NMinimum 5 years of core experience handling Stock Broking, Depository compliances.

NNISM Certifications suchas: NISM Series VII (Securities Operations and Risk

NManagement), NISM Series IIIA (Securities Intermediaries Compliance (Non-Fund)

NCertification Examination) are preferred.

NExhaustive understandingof the SEBI Regulations, Stock exchange guidelines/

Ncirculars, Depository Guidelines.

NProficiency with Exchange Member Portals, Depository Portals, MS Excel capability.

📌 Hiring: Manager Exchange Compliance (India)
🏢 OJ Financial Services
📍 India