- We are seeking a candidate with specialized experience in stockbroking operations and retail clientele management to oversee SEBI regulatory adherence and exchange reporting.
- The candidate will be responsible for ensuring regulatory filings with SEBI, NSE, BSE, MCX, MSEI, and CDSL/NSDL while ensuring the company adheres to the Prevention of Money Laundering Act (PMLA) and KYC norms.
- The appointee will act as the primary point of contact for regulatory bodies, including SEBI, the exchanges, and depositories.
- The role requires ensuring strict adherence to the SEBI (Stock Brokers) Regulations and all circulars issued periodically.
- Responsibilities include monitoring daily operations to ensure compliance with risk management systems, client funding norms, and MTF reporting.
- The candidate will ensure the timely submission of periodic reports, including Enhanced Supervision data, Net Worth certificates, and System Audit reports.
- Reporting duties encompass daily, weekly, monthly, quarterly, half-yearly, and annual submissions,



including segregation and allocation reporting.
- The position involves processing trading software approvals in coordination with system auditors and relevant exchanges.
- The candidate must possess thorough knowledge of exchange portals such as ENIT, BEFS, NCFE, MCX-Inspection, and BSE SSO, including the process for user ID and CTCL applications.
- The role involves handling the filing of Suspicious Transaction Reports (STR) and Cash Transaction Reports (CTR) with FIU-IND where necessary.
- The candidate will coordinate internal, concurrent, and statutory audits required by the exchanges.
- Regular internal reviews must be conducted to identify potential compliance breaches or operational risks.
- The candidate will provide strategic guidance on the impact of current regulatory changes on the business

Pay: ₹900,000.00 - ₹1,200,000.00 per year

Work Location: In person

📌 Compliance Officer (India)
🏢 Junomoneta Finsol Private
📍 India