Regulatory Compliance Officer – Broking & Capital Markets

Job Summary: We are seeking a meticulous and experienced Compliance Officer to ensure our operations strictly adhere to all regulatory requirements laid down by SEBI, Stock Exchanges, Depositories , and other governing bodies. The ideal candidate will have a deep understanding of capital market regulations, surveillance systems, and back-office operations in CM, F&O, and CDS segments. Key Responsibilities: Ensure day-to-day compliance with SEBI regulations, circulars, and exchange/depository guidelines. Monitor and report suspicious transactions under Anti-Money Laundering (AML) guidelines. File periodic reports with regulatory authorities, including margin trading, financial disclosures, and KYC compliance updates. Submit System Audit Reports (SAR) and Annual Returns to respective exchanges in both digital and physical formats. Execute and report Bulk Deals to NSCCL. Activate and manage NEAT, TWS, CTCL, and IBT terminals for NSE, BSE, MCX-SX & USEIL. Calculate and report client margins/funding positions accurately to exchanges. Coordinate with internal teams to ensure margin trading clients submit necessary details pre-trade. Manage Pay-In and Pay-Out of funds for CM, F&O, and CDS segments. Oversee Pay-In and Pay-Out of securities for CM segment. Ensure accurate and daily client margin reporting for F&O and Currency segments to NSCCL. Handle day-to-day RMS and surveillance system operations, including file uploads and monitoring. Notify exchanges promptly of any changes in constituent structures. Keep KYC formats and client documentation aligned with regulatory updates; manage exchange registrations and uploads. Perform back-office accounting and DP operations for CM, F&O, CDS, Mutual Funds, and CDSL (currently CM & F&O). Implement changes based on new SEBI circulars and exchange notifications. Ensure accurate reconciliation of daily trades and timely T1/T2 settlements. Process client fund and security pay-ins/payouts within prescribed timelines. Qualifications & Skills: Graduate/postgraduate in Commerce, Law, or a related field. Minimum 3–5 years of experience in regulatory compliance, preferably in a stockbroking or financial services firm. Strong knowledge of SEBI, NSE, BSE, CDSL/NSDL regulations. Experience with NEAT, TWS, CTCL, RMS, and back-office software systems. Familiarity with AML guidelines, KYC norms, and trade settlements. Excellent analytical, communication, and problem-solving skills. High attention to detail and ability to work under regulatory deadlines. For more information, contact us: 91 95102 18967 || vinayleembalkargmail.com

Location: surat, IN

Posted Date: 4/30/2025