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)
Solid 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 energetic startup, stock broking environment.
Growth opportunities 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