The Compliance Officer will be responsible for ensuring adherence to regulatory requirements across exchanges (BSE/NSE), depositories (NSDL), and SEBI. The role involves managing regulatory reporting, monitoring compliance frameworks, handling audits, and ensuring timely resolution of investor complaints and surveillance alerts.
Experience
5–8 years of experience in compliance within broking/capital markets.
Certification
· NISM certifications (relevant modules as per SEBI requirements)
· Any certification in Compliance, Risk Management, or Financial Regulations