Company Description CAREERBLOC ~ is a growing organization focused on building professional careers in the financial services and stock broking sector. The company aims to connect skilled individuals with structured, compliant, and client-centric financial operations. CAREERBLOC ~ emphasizes regulatory adherence, ethical practices, and continuous learning for its team members. The work environment encourages professional development, collaboration, and high standards of integrity. Candidates joining CAREERBLOC ~ can expect exposure to dynamic financial markets and opportunities to expand their expertise in compliance and finance.
Role Description The Compliance Officer (Stock Broking) (NISM IIIA) will be responsible for overseeing day-to-day compliance activities within the stock broking operations. This full-time, in office role based in Mumbai includes monitoring adherence to SEBI, exchange, and other regulatory guidelines, reviewing internal processes, and ensuring that policies are implemented effectively. The role involves conducting regular compliance checks,



preparing and maintaining required regulatory reports, coordinating with regulatory bodies and auditors, and updating internal teams on new or revised regulations. The Compliance Officer will also handle documentation for client onboarding and transactions, assess compliance risks, and support training initiatives to enhance compliance awareness. Collaboration with operations, risk, and finance teams will be essential to maintain a robust compliance framework.
Qualifications
• Candidates should possess strong skills in Compliance Management and Regulatory Compliance, particularly in stock broking and financial market regulations.
• Candidates should possess solid Analytical Skills and Finance knowledge to interpret regulatory requirements and assess compliance risks.
• Candidates should possess effective Communication skills to interact with regulators, auditors, internal teams, and clients in a clear and p

📌 Compliance Officer( Stock Broking)(NISM IIIA )(6+ years exp))
🏢 CAREERBLOC ~
📍 Mumbai