Compliance Officer - Broking Compliance

WE'RE HIRING | COMPLIANCE OFFICER – BROKING COMPLIANCE

Location: Mumbai | On-site

Experience: 3–8 Years

NISM Series IIIA: Mandatory

Qualification: CS / LLB / CA Inter / MBA Finance preferred

We are looking for a Compliance Officer with strong hands-on experience in stock broking / capital markets compliance to manage regulatory governance from the licensing stage through ongoing operations.

KEY RESPONSIBILITIES:

• Support SEBI stock broker registration and NSE/BSE membership applications.

• Prepare regulatory documentation, policies, KYC/AML procedures and compliance checklists.

• Handle SEBI, NSE & BSE filings, regulatory correspondence and audits.

• Manage AML/KYC/PMLA compliance, client risk assessment and regulatory reporting.

• Own client grievance redressal through SCORES, NSE/BSE portals and ODR.

• Coordinate Annual System Audit, Internal Audit and cybersecurity/CSCRF compliance.

• Maintain regulatory calendars, licenses, certifications and statutory deadlines.

• Manage ROC/MCA compliance under the Companies Act, 2013.

• Coordinate GST, TDS, PF/ESIC, labour law and POSH compliance with CA/CS.

• Review client-facing documents, contracts, privacy and other regulatory requirements.

MUST-HAVE:

• 3–8 years of direct stock broking compliance experience.

• Valid NISM Series IIIA certification.

• Hands-on exposure to SEBI filings, exchange reporting, audits or regulatory correspondence.

• Strong knowledge of SEBI regulations, AML/KYC, PMLA, SCORES & ODR.

• Experience with ROC/MCA and corporate statutory compliance.

• Strong regulatory documentation and deadline-management skills.

Prior experience in SEBI registration or NSE/BSE membership applications will be highly preferred.

APPLY: Send your CV along with a brief note (max 150 words) describing your experience with SEBI stock broker registration/exchange membership applications, or the most complex SEBI/exchange compliance matter handled.

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