Compliance

Job Summary:

The Compliance Executive will be responsible for ensuring adherence to SEBI, Exchange, and

Depository regulations applicable to broking operations. The role involves coordination for

various regulatory filings, review of agreements and advertisements, and maintaining

effective compliance processes. The incumbent must possess strong analytical and

interpretational skills to understand and implement regulatory circulars and updates.

Key Responsibilities:

• Ensure compliance with SEBI, Stock Exchange, and Depository regulations applicable

to broking operations.

• Understand, interpret, and implement regulatory circulars, notifications, and

guidelines issued by SEBI, Exchanges, and Depositories.

• Prepare, review, and submit periodic compliance reports, filings, and disclosures to

SEBI, Exchanges, and Depositories.

• Maintain and update compliance registers, reports, and documentation.

• Coordinate with internal departments to ensure timely data submission and

adherence to regulatory timelines.

• Review and assist in obtaining approvals for client communications, advertisements,

and agreements.

• Support in internal audits, inspections, and regulatory visits.

• Monitor regulatory developments and communicate relevant updates to

stakeholders.

• Assist in implementing internal compliance systems, policies, and controls.

Key Skills & Competencies:

• Strong knowledge of SEBI, NSE, BSE, and Depository compliance frameworks.

• Ability to interpret and apply regulatory circulars and guidelines.

• Excellent coordination, communication, and documentation skills.

• Analytical mindset with strong attention to detail.

• Proficiency in MS Office (Excel, Word, PowerPoint).

• Ability to work independently and manage multiple deliverables.

Qualifications & Experience:

• Bachelor's degree in Commerce, Finance, Law, or related field.

• NISM Series VII (Compulsory).(SORM)

• NISM Series VI and Series III-A (Preferred).

• Minimum 3 to 5 years of experience in compliance within a stock broking or

financial services firm.