Urgent Hiring – Compliance Executive (Stock Broking Industry)

Company: Rikhav Securities Ltd.
Location: Mulund West, Mumbai
Experience: 2–5 Years
Department: Compliance
Industry: Stock Broking / Financial Services

Job Summary

Rikhav Securities Ltd. is looking for a skilled Compliance Executive with hands-on experience in stock broking compliance, exchange reporting, CDSL operations, regulatory notices and drafting replies.

The candidate should have practical knowledge of SEBI, NSE, BSE and CDSL compliance requirements and should be capable of independently handling day-to-day compliance activities and regulatory reporting.

Key Responsibilities

- Prepare, review and submit daily, weekly, monthly and quarterly compliance reports.
- Handle various CDSL reports, including transaction reports, BO-related reports and other depository compliance reports.
- Prepare and submit NSE and BSE exchange-related reports and regulatory filings.
- Draft professional replies to notices, queries, observations and communications received from SEBI, NSE, BSE and CDSL.
- Handle inspection observations, audit queries and compliance-related documentation.
- Monitor SEBI circulars, exchange circulars and regulatory updates and ensure timely implementation.
- Maintain compliance registers, records, audit trails and statutory documentation.




- Coordinate with exchanges, depositories, auditors and internal departments.
- Ensure timely submission of all applicable regulatory and statutory returns.
- Assist in internal audits, exchange inspections and compliance reviews.

Mandatory Skills

- Hands-on experience in a Stock Broking Company.
- Practical knowledge of SEBI, NSE, BSE and CDSL compliance.
- Strong experience in preparing CDSL and exchange-related reports.
- Excellent drafting skills for regulatory notices and replies.
- Knowledge of compliance audits, inspection reports and observations.
- Positive command of MS Excel, Word and data management.
- Ability to independently manage compliance deadlines and reporting.

Educational Qualification

Graduate in Commerce, Finance or any relevant discipline. NISM certification or relevant compliance qualifications will be an added advantage.

Candidate Profile

We are specifically looking for candidates who have worked in a stock broking firm and have independently handled compliance reporting, regulatory correspondence and exchange/depository-related activities.

Interested candidates may share their updated CV at: [email protected]

Pay: From ₹35,000.00 per month

Benefits:

- Flexible schedule

Work Location: In person

📌 SEBI compliance officer (Mulund West)
🏢 Rikhav Securities
📍 Mulund West