Compliance Officer

🚨 Hiring: Compliance Officer – Broking Compliance, Licensing & Regulatory Governance
📍 Location: Mumbai | On-site
💼 Experience: 3–8 years
📌 Role: Compliance Officer
🎓 Qualification: NISM Series IIIA mandatory + CS / LLB / CA Inter / MBA Finance preferred
🔹 About the Role
We are looking for an experienced Compliance Officer to take ownership of the complete broking compliance function — from licensing and registration support to ongoing regulatory compliance.
The role will involve working closely with SEBI, NSE, BSE, auditors, CA/CS professionals and internal stakeholders to ensure regulatory and statutory compliance.
🔹 Key Responsibilities
• Support SEBI stock broker registration and NSE/BSE membership applications
• Handle SEBI, NSE and BSE regulatory filings and reporting
• Manage AML / KYC / PMLA compliance and client risk assessment
• Handle SCORES, ODR and client grievance redressal
• Coordinate internal, exchange and regulatory audits
• Ensure compliance with SEBI Cybersecurity & Cyber Resilience Framework (CSCRF)
• Maintain regulatory calendars, compliance checklists and statutory records
• Manage ROC / MCA and Companies Act compliance
• Coordinate GST, TDS, PF/ESIC and applicable labour law compliance with CA/CS consultants
• Review client-facing compliance documents and agreements
• Ensure DPDPA / data privacy compliance as applicable
• Maintain regulatory relationships and coordinate with SEBI, NSE/BSE and other authorities
🔹 Must-Have
✅ Valid NISM Series IIIA certification
✅ 3–8 years of direct stock broking / capital markets compliance experience
✅ Hands-on experience with SEBI filings, exchange reporting, KYC/AML, audits or regulatory correspondence
✅ Working knowledge of SEBI Stock Brokers Regulations, PMLA, AML/CFT, SCORES & ODR
✅ Ability to independently prepare compliance policies, SOPs, checklists and regulatory documents
✅ Familiarity with ROC/MCA filings and Companies Act compliance
✅ Working knowledge of GST, TDS, PF/ESIC and labour law compliance
✅ Strong regulatory knowledge with excellent attention to detail and deadline management
✅ CS / LLB / CA Inter / MBA Finance or relevant qualification alongside NISM IIIA
📩 How to Apply
Interested candidates can share their updated CV along with a brief note answering:
What is your experience with SEBI stock broker registration or exchange membership applications?
If you have not worked on a registration process, please describe the most complex SEBI / exchange compliance matter you have personally handled.
📌 Subject: Compliance Officer – Broking | [Your Name]
📢 Interested or know someone suitable? Feel free to apply or share this opportunity within your network.
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