Role & responsibilities

- Ensure compliance with SEBI, NSE, BSE and other applicable regulatory requirements.

- Manage daily client funds and securities segregation and related reporting.

- Prepare and monitor daily margin reporting, including reconciliation and submission to Exchanges.

- Monitor client-level funds, securities and margin requirements and identify discrepancies.

- Handle NSE/BSE observations, queries and correspondence, including preparation of responses and ensuring timely closure.

- Maintain records of regulatory submissions, correspondence and compliance documentation.

- Track SEBI/Exchange circulars and regulatory changes and assess their applicability.

- Coordinate with Operations, Risk, RMS,



Accounts and Broking teams for timely compliance.

- Assist with Exchange inspections, audits and regulatory reviews.

- Prepare periodic compliance MIS and reports for senior management

Preferred Research Analyst Compliance

Knowledge of SEBI Research Analyst Regulations will be an added advantage, including:

- RA regulatory and ongoing compliance requirements.

- Compliance relating to research reports, recommendations and disclosures.

- Conflict-of-interest and code-of-conduct requirements.

- RA audits, records and regulatory submissions.

📌 Assistant Manager STOCK Broking Compliance (Mumbai)
🏢 Talent Corner HR Services
📍 Mumbai