Job Description
Key Responsibilities
Ensure timely submissions of periodic compliance reporting to SEBI, Exchanges, and
Depositories.
Tracking of regulatory changes/ circulars from regulatory authorities on regular basis,
conducting impact analyses and implementing the same.
Maintain the updated Compliance Calendar to track all applicable compliance reporting,
review and updating the policies.
Handle regulatory inspections initiated by SEBI, Stock Exchanges, or Depositories.
Manage Internal Audits, System/ Cybersecurity Audits etc.
Handling off site alerts/enquiries from exchanges, draft formal replies and provide
comprehensive documentation to rectify and closure of any inspection observations or
systemic gaps.
Oversee compliances relating to KYC (online KYC), PMLA, surveillance frameworks and
new products development.
Qualifications
Graduate or Postgraduate in Commerce, Finance, Law or MBA.
Minimum 5 years of core experience handling Stock Broking, Depository compliances.
NISM Certifications such as: NISM Series VII (Securities Operations and Risk
Management), NISM Series IIIA (Securities Intermediaries Compliance (Non-Fund)
Certification Examination) are preferred.
Exhaustive understanding of the SEBI Regulations, Stock exchange guidelines/
circulars, Depository Guidelines.
Proficiency with Exchange Member Portals, Depository Portals, MS Excel capability.