Job Description

About the job

We are looking for an experienced Compliance professional with strong knowledge of SEBI, NSE, BSE, Depository regulations & Research Analyst regulation.Key ResponsibilitiesManage SEBI, Exchange and Depository compliance requirements.
Liaise with NSE, BSE, SEBI and Depositories.
Handle regulatory inspections, internal audits and system audits.
Interpret and implement SEBI/Exchange circulars.
Manage KYC compliance and regulatory monitoring.
Handle investor complaints, IGRP and arbitration matters.
Prepare and submit regulatory reports, annual returns and compliance certificates.
Manage Enhanced Supervision, RBS, Net-worth, Holding, Client Funds and other Exchange submissions.
Coordinate Cyber Security & Cyber Resilience audits.
Review and update compliance policies, procedures, forms and website disclosures.
Monitor high-risk clients and identify unusual activity.
Prepare compliance MIS and status reports.
· Handle SEBI Research Analyst compliance, including disclosures, advertisements, research reports and regulatory requirements.Required Qualifications2+ years of relevant experience in Stock Broking / Securities compliance.
Strong knowledge of SEBI, NSE, BSE and Depository regulations.
Experience handling NSE/BSE/SEBI inspections is preferred.
Good communication, analytical and documentation skills.
Ability to work in a fast-paced environment.