Post: Compliance Officer

Key Responsibilities

- Ensure day-to-day compliance with SEBI regulations, circulars, and exchange/depository guidelines.
- Monitor and report suspicious transactions under Anti-Money Laundering (AML) guidelines.
- File periodic reports with regulatory authorities, including margin trading, financial disclosures, and KYC compliance updates.
- Submit System Audit Reports (SAR) and Annual Returns to respective exchanges in both digital and physical formats.
- Handle day-to-day RMS and surveillance system operations, including file uploads and monitoring.
- Notify exchanges promptly of any changes in constituent structures.
- Keep KYC formats and client documentation aligned with regulatory updates; manage exchange registrations and uploads.
- Perform back-office accounting and DP operations for CM, F&O;, and CDSL (currently CM & F&O;).
- Implement changes based on new SEBI circulars and exchange notifications.

Eligibility & Qualifications

- Education:



Graduate or postgraduate degree in Law, Finance, Commerce, preferred NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund), NISM-Series-III-C: Securities Intermediaries Compliance (Fund)
- Robust knowledge of SEBI, NSE, BSE, CDSL regulations.
- Experience: Generally requires 1 to 3 years of hands-on compliance or back-office experience in the stock broking or capital markets industry.
- Skills: In-depth knowledge of SEBI regulations, exchange bye-laws, strong analytical abilities, and regulatory documentation skills

Why Join Us?

- Opportunity to work in a dynamic startup, stock broking environment.
- Career growth in legal, compliance, and corporate governance.
- Competitive salary and benefits as per industry standards.

Pay: ₹600,000.00 - ₹720,000.00 per year

Work Location: In person

📌 Compliance Officer (Jetalpur)
🏢 MARFATIA STOCK BROKING PRIVATE
📍 Jetalpur