? Hiring: Compliance Officer – Broking Compliance, Licensing & Regulatory Governance

? Location: Mumbai | In office

? Experience: 3–8 YEARS ONLY

? Role: Compliance Officer

? NISM SERIES IIIA – MANDATORY

? CS / LLB / CA Inter / MBA Finance – Preferred

⚡ IMMEDIATE JOINER PREFERRED

? About the Role

We are looking for an experienced Compliance Officer to take ownership of the complete broking compliance function — from licensing and registration support to ongoing regulatory compliance.

The role will involve working closely with SEBI, NSE, BSE, auditors, CA/CS professionals and internal stakeholders to ensure regulatory and statutory compliance.

? Key Responsibilities

• Support SEBI stock broker registration and NSE/BSE membership applications

- Handle SEBI, NSE and BSE regulatory filings and reporting

• Manage AML / KYC / PMLA compliance and client risk assessment

• Handle SCORES, ODR and client grievance redressal

• Coordinate internal, exchange and regulatory audits

• Ensure compliance with SEBI Cybersecurity & Cyber Resilience Framework (CSCRF)

- Maintain regulatory calendars, compliance checklists and statutory records

• Manage ROC / MCA and Companies Act compliance

• Coordinate GST, TDS, PF/ESIC and applicable labour law compliance with CA/CS consultants

- Review client-facing compliance documents and agreements

• Ensure DPDPA / data privacy compliance as applicable

- Maintain regulatory relationships and coordinate with SEBI,



NSE/BSE and other authorities

? Must-Have

✅ Valid NISM Series IIIA certification

✅ 3–8 years of direct stock broking / capital markets compliance experience

✅ Hands-on experience with SEBI filings, exchange reporting, KYC/AML, audits or regulatory correspondence

✅ Working knowledge of SEBI Stock Brokers Regulations, PMLA, AML/CFT, SCORES & ODR

✅ Ability to independently prepare compliance policies, SOPs, checklists and regulatory documents

✅ Familiarity with ROC/MCA filings and Companies Act compliance

✅ Working knowledge of GST, TDS, PF/ESIC and labour law compliance

✅ Strong regulatory knowledge with excellent attention to detail and deadline management

✅ CS / LLB / CA Inter / MBA Finance or relevant qualification alongside NISM IIIA

? How to Apply

Interested candidates can share their updated CV along with a brief note answering:

What is your experience with SEBI stock broker registration or exchange membership applications?

If you have not worked on a registration process, please describe the most complex SEBI / exchange compliance matter you have personally handled.

? Subject: Compliance Officer – Broking | [Your Name]

? Interested or know someone suitable? Feel free to apply or share this opportunity within your network.

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📌 Compliance Officer (Mumbai)
🏢 CAREERBLOC ~
📍 Mumbai