We are seeking a Regulatory Compliance professional with experience in the stockbroking and securities industry, particularly in regulatory compliance, exchange reporting, and retail client operations.

The role will oversee compliance with SEBI, NSE, BSE, MCX, MSEI, CDSL/NSDL, PMLA, KYC, FIU-IND requirements, and applicable regulatory circulars. The candidate will also act as a key liaison with regulators, exchanges, depositories, and auditors.

Key Responsibilities

- Manage regulatory and exchange filings and periodic reporting.
- Ensure compliance with SEBI Stock Broker Regulations, PMLA, KYC, client funding, risk management, MTF, and segregation/allocation norms.
- Handle Enhanced Supervision, Net Worth, System Audit, STR/CTR, and other regulatory submissions.
- Coordinate internal, statutory, concurrent, exchange, and system audits and closure of observations.
- Oversee trading software approvals, user IDs, CTCL applications, and related exchange processes.




- Conduct regular compliance reviews and identify regulatory and operational risks.
- Maintain working knowledge of ENIT, BEFS, NCFE, MCX-Inspection, BSE SSO, and other relevant portals.
- Track regulatory changes and advise management on their business and compliance impact.

Key Skills & Experience
- relevant stockbroking/securities compliance experience.
- Strong knowledge of SEBI, exchanges, depositories, PMLA, KYC, and FIU-IND requirements.
- Hands-on experience in regulatory filings, audits, reporting, and compliance monitoring.
- Understanding of stockbroking operations, retail clients, risk management, client funds, and MTF.
- Solid coordination and communication skills.

Pay: ₹700,000.00 - ₹900,000.00 per year

Work Location: In person

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