Company: Gretex Share Broking Limited | Location: Mumbai | Type: Full-time, On-site

About the role

Gretex Share Broking Limited (GSBL), part of the Gretex Group, is hiring a Compliance Officer. You will own regulatory compliance across BSE, NSE, NSDL and SEBI. That covers reporting, surveillance, audits, investor grievances and putting recent circulars into practice.

What you’ll do

- Regulatory reporting: Submit reports to BSE, NSE and NSDL on time, including client-AP mapping, MTF declarations, surveillance obligations and SAAS. File STR, NTR and NIL reports and compliance certificates. Report cyber incidents.
- Investor grievances: Resolve complaints on SEBI SCORES and the exchange platforms within timelines, and keep proper records.
- Surveillance and risk: Review and respond to exchange alerts, run internal surveillance with monthly reporting, and escalate suspicious transactions.
- Audits and filings: Coordinate internal, system,



cyber and VAPT audits. File Networth Certificates, financials, Annual Returns, RBS and RAT. Track NISM certifications and support the institutional team with empanelment documentation.
- Governance: Review SEBI, exchange and depository circulars and drive implementation across teams. Inspect Authorised Persons and report findings. Handle approvals for structural changes such as director changes or shareholding updates.

What we’re looking for

- 5–8 years of compliance experience in stock broking or capital markets
- Graduate or postgraduate in Commerce, Finance or Law (LLB or MBA preferred)
- Relevant NISM certifications, as required by SEBI
- Hands-on with SCORES, exchange surveillance alerts and depository compliance

📌 Compliance Officer – Stock Broking (Mumbai)
🏢 Gretex Share Broking
📍 Mumbai