We are looking for an experienced Compliance qualified with strong knowledge of SEBI, NSE, BSE, Depository regulations & Research Analyst regulation.
Key Responsibilities
• Manage SEBI, Exchange and Depository compliance requirements.
• Liaise with NSE, BSE, SEBI and Depositories.
• Handle regulatory inspections, internal audits and system audits.
• Interpret and implement SEBI/Exchange circulars.
• Manage KYC compliance and regulatory monitoring.
• Handle investor complaints, IGRP and arbitration matters.
• Prepare and submit regulatory reports, annual returns and compliance certificates.
• Manage Enhanced Supervision, RBS, Net-worth, Holding, Client Funds and other Exchange submissions.
• Coordinate Cyber Security & Cyber Resilience audits.
• Review and update compliance policies, procedures,
forms and website disclosures.
• Monitor high-risk clients and identify unusual activity.
• Prepare compliance MIS and status reports.
· Handle SEBI Research Analyst compliance, including disclosures, advertisements, research reports and regulatory requirements.
Required Qualifications
• 2+ years of relevant experience in Stock Broking / Securities compliance.
• Strong knowledge of SEBI, NSE, BSE and Depository regulations.
• Experience handling NSE/BSE/SEBI inspections is preferred.
• Good communication, analytical and documentation skills.
• Ability to work in a fast-paced environment.