Compliance Officer - Stock Broking

We are hiring for an established Financial Services Group with interests across Stock Broking, Wealth Management, Institutional Broking and Capital Markets is looking for an experienced Compliance Officer to lead its regulatory compliance function.

Location : Malad (E), Mumbai

Role : Compliance Officer-Stock Broking & Capital Markets

Experience : 5+ Years

CTC : Upto 40 lpa

Preferred Experience :

• 5 - 12 years in Stock Broking, Capital Markets, PMS, Wealth Management or AIF
• Strong understanding of SEBI, Exchange & Depository regulations
• Experience handling regulatory audits and interactions with SEBI, Exchanges and Depositories

Key Responsibilities :

• Manage end-to-end compliance with SEBI regulations, NSE/BSE circulars, clearing corporation requirements, and depository regulations.
• Ensure timely submission of all regulatory filings, reports, disclosures, and certifications.
• Act as the primary point of contact for SEBI, Exchanges, Depositories, auditors, and regulatory inspections.
• Monitor regulatory developments and implement necessary changes in policies, processes, and controls.
• Oversee AML, KYC, investor grievance, surveillance, and risk-management related compliance requirements.
• Coordinate internal, concurrent, system, and regulatory audits and ensure timely closure of observations.
• Maintain compliance manuals, SOPs, regulatory records, and governance frameworks.
• Advise management on regulatory implications of new products, business initiatives, and operational changes.
• Support compliance requirements relating to Category III AIFs, including regulatory filings, investor reporting, and regulatory liaison (preferred).