About BullsmartBullsmart is a FinTech company leveraging technology to make investing accessible and straightforward for everyone, especially young and first-time investors. We empower investors with innovative financial technology, insightful investment tools, and wealth-building opportunities, helping them make informed investment decisions and achieve their financial goals. At Bullsmart, we believe in making investment opportunities more accessible, providing the right tools and resources, and supporting investors throughout their financial journey.

About the Role
We are looking for an experienced and detail-oriented Compliance Officer/Manager to manage regulatory compliance and day-to-day operations across our stockbroking business. The ideal candidate should have strong knowledge of SEBI regulations, stock exchange and depository guidelines, capital market operations, surveillance systems, and back-office processes. The candidate will be responsible for ensuring regulatory compliance, managing exchange-related submissions, overseeing settlement operations, and implementing regulatory changes across the organisation.

Key Responsibilities
1. Regulatory Compliance & Reporting
• Ensure day-to-day compliance with SEBI regulations, circulars, and guidelines issued by NSE, BSE, CDSL/NSDL and other regulatory authorities.
• Prepare and submit periodic regulatory reports, including margin trading reports, financial disclosures, KYC updates, and other statutory filings.
• Prepare and submit System Audit Reports (SAR), annual returns, and other exchange-related compliance documents.




• Monitor regulatory updates and implement necessary changes based on new SEBI circulars and exchange notifications.
• Ensure timely reporting of suspicious transactions in accordance with AML guidelines. 2. Stock Exchange & Trading Operations
• Manage activation and operations of NEAT, TWS, CTCL, and IBT terminals across applicable exchanges.
• Handle bulk deal reporting and other exchange-related submissions.
• Calculate, verify, and report client margins and funding positions accurately.
• Coordinate with internal teams to ensure compliance requirements are fulfilled before enabling margin trading facilities.
• Notify exchanges promptly about changes in the company's constituent structure. 3. RMS, Surveillance & Risk Management
• Manage day-to-day Risk Management System (RMS) and surveillance operations.
• Monitor surveillance alerts, upload required files, and ensure timely reporting to exchanges.
• Ensure accurate daily client margin reporting for F&O; and Currency segments.
• Monitor client trading activities and ensure adherence to applicable regulatory requirements. 4. Settlement & Back-Office Operations
• Manage fund pay-in and pay-out activities across Capital Market (CM), F&O;, and Currency (CDS) segments.




• Oversee securities pay-in and pay-out operations for the Capital Market segment.
• Ensure timely and accurate T+1/T+2 settlement processes.
• Perform daily trade reconciliation and ensure accuracy of client fund and securities balances.
• Handle back-office accounting and depository participant (DP) operations, including CM, F&O;, CDS, Mutual Funds, and CDSL-related activities, as applicable. 5. KYC & Documentation Management
• Ensure client KYC formats and documentation are updated in line with regulatory requirements.
• Manage exchange registrations, documentation, and necessary uploads.
• Maintain accurate compliance records and ensure documentation is readily available for regulatory audits and inspections. Qualifications & Skills
• Graduate/Postgraduate degree in Commerce, Finance, Law, or a related discipline.
• 7–14 years of relevant experience in regulatory compliance, preferably with a stockbroking or financial services organisation.
• Robust understanding of SEBI regulations and NSE, BSE, CDSL/NSDL guidelines.
• Practical experience in Capital Market (CM), Futures & Options (F&O;), and Currency Derivatives (CDS) operations.
• Hands-on experience with NEAT, TWS, CTCL, RMS, and stockbroking back-office systems.
• Good understanding of AML guidelines, KYC norms, margin reporting, and settlement processes.
• Strong analytical, communication, and problem-solving skills.
• Excellent attention to detail and ability to manage multiple compliance activities within strict regulatory timelines.

📌 Compliance Manager (Bengaluru)
🏢 Bullsmart
📍 Bengaluru