? WE’RE HIRING | COMPLIANCE OFFICER – BROKING COMPLIANCE

? Location: Mumbai | On-site

? Experience: 3–8 Years

? NISM Series IIIA: Mandatory

? Qualification: CS / LLB / CA Inter / MBA Finance preferred

We are looking for a Compliance Officer with solid hands-on experience in stock broking / capital markets compliance to manage regulatory governance from the licensing stage through ongoing operations.

? KEY RESPONSIBILITIES:

- Support SEBI stock broker registration and NSE/BSE membership applications.
- Prepare regulatory documentation, policies, KYC/AML procedures and compliance checklists.
- Handle SEBI, NSE & BSE filings, regulatory correspondence and audits.
- Manage AML/KYC/PMLA compliance, client risk assessment and regulatory reporting.
- Own client grievance redressal through SCORES, NSE/BSE portals and ODR.
- Coordinate Annual System Audit, Internal Audit and cybersecurity/CSCRF compliance.
- Maintain regulatory calendars, licenses, certifications and statutory deadlines.
- Manage ROC/MCA compliance under the Companies Act, 2013.
- Coordinate GST, TDS, PF/ESIC, labour law and POSH compliance with CA/CS.




- Review client-facing documents, contracts, privacy and other regulatory requirements.

✅ MUST-HAVE:
- 3–8 years of direct stock broking compliance experience.
- Valid NISM Series IIIA certification.
- Hands-on exposure to SEBI filings, exchange reporting, audits or regulatory correspondence.
- Strong knowledge of SEBI regulations, AML/KYC, PMLA, SCORES & ODR.
- Experience with ROC/MCA and corporate statutory compliance.
- Strong regulatory documentation and deadline-management skills.

⭐ Prior experience in SEBI registration or NSE/BSE membership applications will be highly preferred.

? APPLY: Send your CV along with a brief note (max 150 words) describing your experience with SEBI stock broker registration/exchange membership applications, or the most complex SEBI/exchange compliance matter handled.

#Hiring #ComplianceOfficer #SEBI #StockBroking #NISM #CapitalMarkets #RegulatoryCompliance #MumbaiJobs #FinanceJobs #AML #KYC

📌 Compliance Officer - Broking Compliance (Mumbai)
🏢 CAREERBLOC ~
📍 Mumbai