Company Description Prompt Corporate Services Ltd., part of the Singhania Group, is a boutique trading firm registered with SEBI. The company specializes in trading a wide range of options strategies, serving clients who seek sophisticated and customized trading solutions.

As a focused and agile organization, Prompt Corporate Services Ltd. emphasizes risk management, compliance, and operational integrity in all trading activities. Team members work in a dynamic market environment, contributing to the firm’s reputation for professionalism and adherence to regulatory standards.

Role Description The Compliance Officer role at Singhania Group is a full-time, on-site position based in Kolkata.

The Compliance

Officer will oversee day-to-day compliance activities, ensuring that trading operations adhere to SEBI regulations and internal policies.

Responsibilities include monitoring transactions for regulatory violations, maintaining compliance documentation, and conducting periodic audits and risk assessments. The role involves drafting and updating policies, providing guidance to trading and operations teams, and supporting regulatory reporting and inspections.

The Compliance





Officer will also train staff on compliance requirements and collaborate with leadership to strengthen the firm’s overall governance framework.

Qualifications

Qualified CA, CS, or MBA (Finance)

- Strong skills in Compliance Management and Regulatory Compliance, with experience interpreting and applying SEBI and other relevant regulations.
- Effective Communication skills for preparing explicit reports, policies, and training materials, and for partnering with internal stakeholders and regulators.
- Solid understanding of Finance, particularly capital markets and derivatives, to assess the compliance impact of various options strategies.
- Bachelor’s degree in Law, Finance, Business, or a related field; advanced certifications in compliance or securities regulation are an advantage.
- Proven ability to work with integrity, maintain confidentiality, and make sound, objective decisions in a fast-paced trading environment.
- Prior experience in a financial services or trading firm is highly desirable.

Experience: [3–5+] years in Stock Broking / Capital Markets Compliance

Key Responsibilities:

- SEBI, Exchange (NSE/BSE/MCX), and Depository compliance & filings
- Regulatory audits, exchange inspections, and internal control.
- KYC/AML framework implementation & SCORES grievance redressal.

📌 Compliance Officer (Kolkata)
🏢 Singhania Group
📍 Kolkata