Job Title: Sr. Executive
Department: Compliance
Location: 502, 5th Floor, Puniska House, Nr. Swati Restaurant, Bopal Ambli Road, Ahmedabad

About Us

We are a trusted and SEBI-registered stock broking and trading firm offering services across equity, derivatives, and depository markets. Our Compliance Department plays a critical role in upholding regulatory integrity, ensuring strict adherence to SEBI and exchange norms, and mitigating operational risks through continuous monitoring, internal controls, and governance frameworks.

Role Overview

We are looking for an experienced and diligent Sr. Executive to manage and monitor regulatory activities, oversee reporting obligations, and support internal audits and inspections. This role requires a strong understanding of SEBI, NSE/BSE, and depository regulations, along with experience in compliance operations, client documentation checks, and risk controls. The candidate will work closely with department heads and regulatory bodies to ensure full adherence to compliance frameworks.

Key Responsibilities

- Ensure end-to-end execution of compliance policies, regulatory filings, and reporting to SEBI, NSE, BSE, MCX and depositories (CDSL/NSDL).
- Review client on boarding and documentation in line with KYC, AML, PMLA, and FATCA guidelines.
- Interpret regulatory circulars, assess business impact, and coordinate implementation across departments.
- Maintain up-to-date compliance records, audit documentation, and regulatory communications.
- Conduct internal and external audits,



regulatory inspections, and risk assessments.
- Coordinate with KRA agencies, exchanges, and depositories for compliance reporting and issue resolution.
- Train and guide junior team members in regulatory norms, compliance procedures, and systems.
- Stay updated with SEBI circulars, exchange notices, and evolving regulatory frameworks, and ensure timely communication within the organization.

Qualifications

- Bachelor’s or Master’s degree in Commerce, Finance, Law, or related field
- 3–5 years of relevant experience in compliance, audit, or regulatory affairs in a stock broking or financial services firm
- In-depth knowledge of SEBI, Exchange, Depository regulations, and compliance protocols
- Proficiency in MS Office (especially Excel) and familiarity with regulatory portals and back-office systems
- NISM certifications (such as Series-VI, Series-VIII, or equivalent) are mandatory
- Excellent attention to detail, analytical ability, and understanding of regulatory risk
- Strong communication and documentation skills, with ability to coordinate across teams

What We Offer

- A key role in strengthening the firm's compliance and governance framework
- Exposure to SEBI, exchange, and audit interactions
- Growth opportunities in regulatory compliance, internal control, and risk management
- Competitive salary with performance-based incentives
- Professional, structured, and ethical work workplace

Pay: ₹292,000.00 - ₹1,010,000.00 per year

Work Location: In person

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