Compliance Officer

Stock Bazaar is a market data and research platform serving Indian retail investors. As we scale, you'll own the compliance function — keeping us aligned with SEBI regulations, company law and the obligations that come with distributing market data and research.

Key responsibilities

SEBI and regulatory compliance

• Ensure compliance with applicable SEBI regulations, circulars and guidelines
  
• Track regulatory developments affecting market data, research distribution and investor-facing platforms
  
• Prepare and file periodic regulatory returns and disclosures
  
• Liaise with SEBI, exchanges and other regulators on queries, inspections and correspondence
  

Secretarial and corporate

• Maintain statutory registers, minutes and records under the Companies Act, 2013
  
• Convene and record Board and shareholder meetings, including notices, agendas and resolutions
  
• File returns and forms with the MCA and Registrar of Companies
  
• Support corporate actions, share allotments and related filings
  

Policy and internal controls

• Draft, maintain and update internal compliance policies, including the Code of Conduct, insider trading policy and research disclosure norms
  
• Conduct internal compliance reviews and maintain audit trails
  
• Run compliance training and awareness sessions for employees
  
• Review marketing, research and platform content for regulatory accuracy
  
  

Risk and advisory

• Advise management on the regulatory implications of new products and features
  
• Identify compliance risks early and recommend mitigation
  
• Manage relationships with external legal counsel and auditors
  

Requirements

• Qualified Company Secretary (CS) and LLB — both mandatory
  
• Minimum 3 years of post-qualification experience in a compliance role
  
• SEBI-related compliance experience is mandatory — hands-on, not theoretical
  
• Working knowledge of the Companies Act, 2013 and SEBI regulations
  
• Experience preparing regulatory filings and maintaining statutory records
  
• Strong drafting skills in English
  
• Ability to work independently in a lean team
  

Good to have

• Experience in the stock market, broking, research analyst or market data industry
  
• Familiarity with the SEBI (Research Analysts) Regulations
  
• Exposure to a startup or high-growth environment
  
• NISM certification