Compliance Executive / Manager

• We are looking for a Compliance Manager to manage SEBI and Exchange Compliance for a Stock Broking firm.
• The role involves handling regulatory filings, responding to exchange queries, and ensuring timely compliance with SEBI, NSE, BSE, and Depository (CDSL/NSDL) guidelines.

Responsibilities

• Handle SEBI, NSE, BSE, MCX, and Depository-related compliance.
• File periodic and event-based regulatory reports and returns.
• Manage audits and inspections.
• Ensure adherence to SEBI regulations, circulars, and exchange guidelines.
• Develop and update compliance policies and SOPs.
• Coordinate with exchanges, SEBI, and auditors for compliance queries.
• Maintain compliance records, reports, and documentation.
• Liaise with internal teams to address compliance gaps 8.
• Drive employee awareness and training on compliance matters.

Requirements

• In depth knowledge of SEBI regulations, AML guidelines, and PMLA provisions.
• 2-5 years experience in SEBI or Exchange compliance with a Stock Broker.
• Strong understanding of SEBI rules, Exchange regulations, and audit requirements.