We are looking for an experienced Compliance professional 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.
- Positive communication, analytical and documentation skills.
- Ability to work in a fast-paced environment.

📌 Compliance Officer (Ahmedabad)
🏢 InvestMentor Securities
📍 Ahmedabad