POSITION SUMMARY

We are looking for a senior-level Compliance Officer to oversee the company's day-to-day regulatory compliance across

trading, exchange, and audit functions. The candidate will be responsible for ensuring the brokerage operates fully within

SEBI, exchange, and statutory guidelines, and for leading internal, cyber, and stock audits.

KEY RESPONSIBILITIES

- Manage overall day-to-day compliance of the company as per SEBI, NSE, BSE, MCX, and other regulatory

Guidelines.

- Monitor trading compliance — ensure client dealings, dealer activity, and RMS processes adhere to exchange

Norms.

- Ensure timely and accurate exchange compliance filings, reports, and submissions.
- Plan and conduct internal audits across departments (dealing, RMS, KYC, accounts) to identify and mitigate

Compliance gaps.

- Coordinate and oversee Cyber Audits in line with SEBI cybersecurity and cyber-resilience framework

Requirements.

- Coordinate and oversee Stock Audits and ensure findings are addressed within stipulated timelines.
- Maintain complete and accurate documentation for all regulatory, audit, and inspection purposes.
- Act as the primary point of contact for SEBI, exchange, and depository inspections/audits.
- Draft, update, and implement internal compliance policies, SOPs, and risk control frameworks.




- Track regulatory circulars/updates from SEBI and exchanges and ensure timely implementation across the

Organization.

- Report compliance status, risks, and audit findings directly to the CEO/Board on a periodic basis.
- Guide and train staff across departments on compliance requirements and regulatory changes.

REQUIRED SKILLS & COMPETENCIES

- In-depth knowledge of SEBI regulations, exchange bye-laws, and stock broking compliance requirements.
- Strong experience in handling trading compliance, exchange compliance, and regulatory audits.
- Proven experience managing Internal Audit, Cyber Audit, and Stock Audit processes.
- Excellent documentation, reporting, and audit-coordination skills.
- Strong leadership skills to guide cross-functional teams on compliance matters.
- High integrity, attention to detail, and ability to work independently at a senior level.

ELIGIBILITY & REQUIREMENTS

- Graduate/Post-Graduate in Law, Finance, Commerce, or related field; skilled certification (Company

Secretary/CA/Compliance certifications) preferred.

- Minimum 3 years of senior-level compliance experience specifically within a stock broking/financial services firm

MANDATORY

Strong working relationship/familiarity with SEBI, exchange, and depository compliance processes.

INTERESTED CANDIDATE CAN APPLY AT : [email protected]

Pay: ₹70,000.00 - ₹110,000.00 per month

Work Location: In person

📌 Senior Compliance Officer (India)
🏢 EaseBiz Placement
📍 India