Job Title: Compliance Manager

Company: Kedia Capital Services Pvt. Ltd.

Location: Kalyan, Maharashtra

Experience Required: Minimum 5 years in Compliance (Stock Broking / Wealth Management)

Job Summary:

The Compliance Manager will be responsible for overseeing all regulatory compliance functions of Kedia Capital Services Pvt. Ltd. The role includes ensuring adherence to SEBI, NSE, BSE, CDSL, MCX, and other regulatory guidelines, monitoring internal processes, mitigating compliance risks, and ensuring smooth audit and inspection management.

Key Responsibilities:

Regulatory Compliance & Monitoring:

- Ensure adherence to SEBI, Exchange (NSE/BSE), Depository (CDSL), and PMLA regulations.

- Implement and update compliance policies, SOPs, and internal control systems.

- Monitor daily/weekly/monthly compliance activities including margin reporting, RMS compliance, and surveillance alerts.

Audit, Inspection & Reporting:

- Coordinate and handle internal audits, statutory audits, and regulatory inspections.

- Prepare timely submissions of regulatory reports (SEBI, Exchanges, CDSL, PMLA/STR, financial compliance reports).

- Maintain accurate documentation and respond to regulatory queries.

Risk Management:

- Identify compliance risks and implement corrective/preventive measures.

- Monitor client transactions and suspicious activities as per PMLA guidelines.

- Oversee KYC, CKYC, IPV, and onboarding compliance.

Operational Compliance:

- Ensure compliance in account opening, DP operations, trade surveillance, margin collection & reporting.

- Review new products, marketing materials, and communication for regulatory adherence.

- Manage employee compliance including code of conduct and personal trades.

Training & Internal Coordination:

- Conduct compliance awareness sessions for employees.

- Communicate regulatory changes to internal teams.





- Support departments in implementing regulatory updates.

Qualifications & Requirements:

- Graduate or Post-Graduate in Commerce, Finance, or related fields.

- Minimum 5 years of experience in a stock broking or wealth management firm.

- Strong understanding of SEBI, Exchange, and Depository regulations.

- Hands-on experience in broking back-office processes, reporting, and audits.

- Excellent documentation, analytical, and communication skills.

Key Skills:

- Regulatory Compliance (SEBI/NSE/BSE/CDSL)

- PMLA & Surveillance

- Risk Analysis & Monitoring

- Audit & Inspection Handling

- KYC/CKYC/Onboarding Compliance

- Strong coordination & reporting skills

Job Title: Compliance Manager

Company: Kedia Capital Services Pvt. Ltd.

Location: Kalyan, Maharashtra

Experience Required: Minimum 5 years in Compliance (Stock Broking / Wealth Management)

Job Summary:

The Compliance Manager will be responsible for overseeing all regulatory compliance functions of Kedia Capital Services Pvt. Ltd. The role includes ensuring adherence to SEBI, NSE, BSE, CDSL, MCX, and other regulatory guidelines, monitoring internal processes, mitigating compliance risks, and ensuring smooth audit and inspection management.

Key Responsibilities:

Regulatory Compliance & Monitoring:

- Ensure adherence to SEBI, Exchange (NSE/BSE), Depository (CDSL), and PMLA regulations.

- Implement and update compliance policies, SOPs, and internal control systems.





- Monitor daily/weekly/monthly compliance activities including margin reporting, RMS compliance, and surveillance alerts.

Audit, Inspection & Reporting:

- Coordinate and handle internal audits, statutory audits, and regulatory inspections.

- Prepare timely submissions of regulatory reports (SEBI, Exchanges, CDSL, PMLA/STR, financial compliance reports).

- Maintain accurate documentation and respond to regulatory queries.

Risk Management:

- Identify compliance risks and implement corrective/preventive measures.

- Monitor client transactions and suspicious activities as per PMLA guidelines.

- Oversee KYC, CKYC, IPV, and onboarding compliance.

Operational Compliance:

- Ensure compliance in account opening, DP operations, trade surveillance, margin collection & reporting.

- Review new products, marketing materials, and communication for regulatory adherence.

- Manage employee compliance including code of conduct and personal trades.

Training & Internal Coordination:

- Conduct compliance awareness sessions for employees.

- Communicate regulatory changes to internal teams.

- Support departments in implementing regulatory updates.

Qualifications & Requirements:

- Graduate or Post-Graduate in Commerce, Finance, or related fields.

- Minimum 5 years of experience in a stock broking or wealth management firm.

- Strong understanding of SEBI, Exchange, and Depository regulations.

- Hands-on experience in broking back-office processes, reporting, and audits.

- Excellent documentation, analytical, and communication skills.

Key Skills:

- Regulatory Compliance (SEBI/NSE/BSE/CDSL)

- PMLA & Surveillance

- Risk Analysis & Monitoring

- Audit & Inspection Handling

- KYC/CKYC/Onboarding Compliance

- Robust coordination & reporting skills

📌 Corporate Sales Executive (Kalyan)
🏢 Kedia Capital
📍 Kalyan