Role purpose

The Compliance Officer will be the designated officer responsible for the organisation’s regulatory compliance across NSE, BSE and MCX. The role holder will own all compliance matters end to end, from daily monitoring and Exchange submissions to audits, inspections and regulatory correspondence.

The position ensures that the organisation operates at all times in accordance with SEBI regulations, Exchange bye-laws, rules and circulars, and applicable anti-money laundering requirements.

Key responsibilitiesRegulatory compliance and daily monitoring

- Act as the designated Compliance Officer for NSE, BSE and MCX, and as the primary point of contact with SEBI and the Exchanges on all compliance matters.
- Ensure day-to-day adherence to SEBI regulations, Exchange bye-laws, rules and circulars across all segments.
- Track SEBI, Exchange and Clearing Corporation circulars daily, assess their impact, and implement the required changes across teams.
- Maintain the compliance calendar and ensure that all periodic and event-based obligations are met on time.
- Report any non-compliance to the Exchanges promptly, as required under the SEBI (Stock Brokers) Regulations, 2026.

Exchange submissions and membership matters

- Prepare and submit periodic returns and reports on the NSE, BSE and MCX member portals.
- Oversee submissions such as net worth certificates, internal and system audit reports, client funds and collateral reporting, and running-account settlement data.
- Handle membership-related filings, including changes in directors or key personnel, approved user and terminal registrations, and vendor and software approvals.
- Track NISM certifications of dealers and staff across all Exchanges and ensure renewal before expiry.

Audits, inspections and regulatory correspondence

- Coordinate internal audits, system audits and cybersecurity audits, including VAPT under SEBI’s Cybersecurity and Cyber Resilience Framework (CSCRF), and ensure timely closure of observations.
- Lead SEBI and Exchange inspections, including data preparation,



management responses and closure of observations.
- Respond to Exchange queries, surveillance letters, observation letters and show-cause notices within prescribed timelines.

Qualifications and experienceEssential

- Bachelor’s degree in Commerce, Finance, Law or a related discipline.
- 3–4 years of hands-on compliance experience with a SEBI-registered stock broker or similar market intermediary.
- Direct experience handling compliance for NSE, BSE and MCX, including periodic submissions on the Exchange member portals.
- Prior experience supporting or leading Exchange or SEBI inspections and internal audits.
- Valid NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification.
- Sound working knowledge of the SEBI (Stock Brokers) Regulations, Exchange bye-laws, KYC norms and the PMLA.
- Proficiency in MS Excel and broker back-office systems.

Desirable

- Company Secretary (CS) or LLB qualification.
- NISM-Series-VII (Securities Operations and Risk Management), NISM-Series-XVI (Commodity Derivatives) or NISM-Series-XXIV (AML and CFT Provisions) certification.
- Experience with depository participant (CDSL) compliance.
- Working knowledge of SEBI’s Cybersecurity and Cyber Resilience Framework (CSCRF).

Key competencies

- High integrity and the independence to escalate issues without fear or favour.
- Strong attention to detail and the ability to meet strict regulatory deadlines.
- Ability to work independently and take full ownership of the compliance function.
- Transparent written and verbal communication with regulators, Exchanges, auditors and internal teams.
- Proficiency in English and Hindi; working knowledge of Bengali preferred.

Job details

- Job type: Full-time, Permanent
- Pay: Commensurate with experience and in line with industry standards
- Schedule: Day shift
- Experience: Stock broking compliance, 3 years (Required)
- Certification: NISM-Series-III-A (Required)
- Work location: In person, Kolkata

Pay: ₹800,000.00 - ₹2,400,000.00 per year

Benefits:

- Paid sick time
- Paid time off
- Provident Fund

Work Location: In person

📌 Compliance Officer (Kolkata)
🏢 Manu Stock Broking
📍 Kolkata