Compliance Officer – Broking Compliance, Licensing & Regulatory Governance

Location: Mumbai – On-site

Employment Type: Full-time

Experience: 3–8 years

Salary: ₹8,00,000 – ₹12,00,000 per annum

About the Role

We are looking for a Compliance Officer to own and manage the complete broking compliance function, from regulatory licensing and exchange membership support through to ongoing SEBI, exchange, AML/KYC and corporate compliance.

This is a hands-on role suited to a compliance professional with direct experience in stock broking, capital markets or a regulated financial-services environment.

Key Responsibilities

- Support SEBI stock-broking registration and NSE/BSE membership applications.
- Coordinate regulatory documentation, submissions and responses with SEBI and stock exchanges.
- Draft and maintain AML/KYC policies, Client Registration Forms, Risk Disclosure Documents and compliance SOPs.
- Manage periodic SEBI, NSE and BSE regulatory filings, returns and compliance certificates.
- Own AML/KYC and PMLA compliance, including client risk categorisation, enhanced due diligence and regulatory reporting.
- Handle investor and client grievances through SCORES, exchange portals and ODR, ensuring timely resolution.
- Coordinate SEBI/exchange inspections, Annual System Audits, internal audits and regulatory observations.
- Maintain a comprehensive compliance calendar covering regulatory filings, audits, renewals and certifications.
- Monitor compliance with SEBI stock-broker regulations, PMLA/AML requirements and applicable exchange regulations.
- Coordinate ROC/MCA filings, statutory registers and Companies Act compliances with the CA/CS.
- Coordinate GST, TDS, PF/ESIC, labour-law and other applicable statutory compliances with external consultants.
- Monitor regulatory circulars and ensure timely implementation of applicable changes.
- Maintain records, compliance evidence and regulatory correspondence for inspections and audits.
- Identify compliance gaps and recommend corrective and preventive actions.




- Support management on regulatory implications of recent products, services or business activities.

RequirementsMandatory
- NISM Series IIIA – Securities Intermediaries Compliance (Non-Fund) certification, valid at the time of joining.
- 3–8 years of direct stock-broking / capital-markets compliance experience.
- Hands-on experience with SEBI and/or NSE/BSE compliance, regulatory filings, reporting, audits or regulatory correspondence.
- Practical knowledge of SEBI stock-broker regulations, PMLA/AML, KYC, SCORES and ODR.
- Ability to independently prepare or review compliance documents, policies, checklists and regulatory submissions.
- Experience handling compliance deadlines and maintaining regulatory documentation.

Preferred Qualification Any one of the following:
- CS / Company Secretary
- LLB
- CA Inter
- MBA Finance

Preferred Experience
- Stock-broker registration or exchange membership applications.
- NSE/BSE licensing, membership or regulatory correspondence.
- SEBI/exchange inspections or audits.
- AML/KYC documentation and regulatory reporting.
- ROC/MCA and Companies Act compliance.
- Coordination with CA/CS and other external regulatory consultants.
- Experience working in a small team with independent ownership of compliance activities.

What We’re Looking For We are looking for someone with genuine hands-on broking compliance experience, rather than only theoretical knowledge or general corporate compliance exposure.

Candidates should be able to clearly demonstrate what they have personally handled — including specific filings, regulatory submissions, audits, licensing activities, AML/KYC processes, grievance handling or compliance matters.

How to Apply

Please submit your CV along with a brief note of not more than 150 words answering:

What is your direct, hands-on experience with SEBI stock-broker compliance, exchange filings/membership, AML/KYC, audits or regulatory matters? Please mention specific activities or filings you personally handled.

Applications without clear evidence of hands-on compliance experience may not be shortlisted.

Pay: ₹800,000.00 - ₹1,200,000.00 per year

Work Location: In person

📌 Compliance Officer – Broking Compliance, Licensing & Regulatory Governance (Mumbai)
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📍 Mumbai