Key Responsibilities
- Ensure compliance with SEBI, NSE, BSE, CDSL, NSDL, and other regulatory guidelines applicable to stock broking activities.
- Monitor day-to-day compliance of trading, depository, and back-office operations.
- Prepare, review, and submit periodic reports/returns to SEBI, Exchanges, Depositories, and other regulatory authorities within timelines.
- Draft and update internal compliance policies, manuals, and procedures in line with regulatory requirements.
- Conduct regular compliance audits, inspections, and internal checks across branches and departments.
- Ensure client KYC, PMLA (Prevention of Money Laundering Act), and other statutory compliances are strictly followed.
- Liaise with regulatory authorities during inspections, audits, and queries, ensuring prompt closure of observations.
- Provide compliance training and guidance to employees, dealers, and relationship managers.
- Monitor and implement new circulars, regulations, and guidelines issued by SEBI/Exchanges/Depositories.
Key Skills & Competencies
- Strong knowledge of SEBI, NSE, BSE, and Depository regulations.
- Hands-on experience in compliance within stock broking or financial services industry.
- Good understanding of KYC, AML, and risk management frameworks.
- Excellent drafting, reporting, and documentation skills.
- Strong analytical ability and attention to detail.
- Effective communication and stakeholder management skills.
