We are seeking a detail-oriented and proactive Compliance Sr. Executive to join the Capital Markets Compliance team.
You will support daily exchange and regulatory compliance activities, assist in managing audit requirements, and coordinate across internal teams, exchanges, and depositories. This is an excellent opportunity for an early-career professional looking to build deep expertise in stock broking regulations within a high-growth fintech environment.
- Experience: 2–3 years in Stock Broking / Capital Markets Compliance
- Education: Graduate (Commerce / Law preferred) or Qualified Company Secretary (CS)
- Location: Hybrid
Core Responsibilities:
1. Regulatory Compliance & Exchange Reporting
- Assist in ensuring day-to-day compliance with regulations, circulars, and notifications issued by SEBI, BSE,NSE, CDSL.
- Prepare and submit periodic regulatory reports and compliance filings to exchanges and depositories on time(e.g., daily/weekly/monthly reports to NSE/BSE/CDSL).
- Monitor exchange portals (ENIT, BEFS, etc.) for new circulars, inspection schedules, and submission deadlines; maintain a compliance calendar.
- Handle end-to-end submissions on NSE, BSE, and CDSL portals and maintain accurate submission records.
2. Documentation & Record Keeping
- Maintain organised and audit-ready documentation for all compliance activities, regulatory filings, inspection responses, and offsite surveillance alerts.
- Manage and update the compliance register, regulatory correspondence files, and policy acknowledgement records.
- Ensure proper version control of compliance documents, circulars, and SOPs relevant to stock broking operations.
- Prepare and maintain a master tracker for all regulatory deadlines, license renewals, and pending action items.
3. Audit Support – Internal & External
- Provide support during internal compliance audits, external audits, and exchange-mandated inspections.
- Coordinate with internal teams (Operations, Technology, Finance, Customer Support) to gather data, evidence,and documentation within stipulated timelines.
- Assist in preparing responses to audit observations, inspection queries, and offsite alerts from exchanges and SEBI.
4. Compliance Awareness & Coordination
- Stay updated with new SEBI circulars, exchange notices, and regulatory changes; circulate relevant updates to impacted teams.
Domain Knowledge (Must-Have):
- Basic to intermediate understanding of SEBI regulations, Stock Exchange Rules (NSE/BSE Byelaws), and Depository Participant guidelines (CDSL).
- Familiarity with stock broking operations including KYC, account opening, trading, clearing, settlement, and demat processes.
- Awareness of AML/KYC requirements under PMLA and SEBI AML circulars.
Technical & Tools:
- Proficiency in MS Excel for preparing MIS reports, regulatory trackers, and reconciliation statements.
- Familiarity with exchange portals: ENIT (NSE), BEFS (BSE), CDSL Easiest.
Behavioural Competencies:
- Attention to Detail: High accuracy in documentation, filings, and data entry with zero tolerance for errors in regulatory submissions.
- Communication: Clear written and verbal communication for internal coordination and external regulatory correspondence.
- Ownership: Proactive in following up on pending items, meeting deadlines, and escalating issues without being prompted.
- Adaptability: Comfortable working in a dynamic fintech environment where regulations and processes evolve rapidly.
- Team Player: Ability to collaborate across Operations, Technology, Finance, and Customer Support teams.
