Job Description

Job Title: Compliance Executive - Stock Broking (SEBI, NSE, BSE & CDSL)
Job Location: [BANGALORE]
Department: Compliance
Reporting To: Compliance Officer / Director
Employment Type: Full-time
Job Summary:
The Compliance Executive will be responsible for ensuring the organization's
adherence to regulatory requirements prescribed by SEBI, NSE, BSE, CDSL and other
applicable authorities. The role involves monitoring internal processes, maintaining
statutory records, preparing regulatory reports, and supporting audits/inspections to
ensure full compliance for stock broking and depository participant operations.
Key Responsibilities:
1) Ensure compliance with all rules, circulars, guidelines, and notifications issued
by SEBI, NSE, and BSE.
2) Preparation and submission of periodic regulatory reports such as ENIT returns,
monthly/quarterly compliance reports, and other exchange filings.
3) Monitoring trading member activities for regulatory adherence including,
surveillance alerts, PMLA monitoring, etc
4) Support in managing exchange/SEBI inspections, audits, and closure of
observation reports.
5) Ensure compliance with CDSL bye-laws, operating instructions, and circulars
6) Maintaining depository-related registers, audit reports, and compliance
certificates
7) Drafting, updating, and implementing compliance policies, SOPs, and internal
controls.
8) Conducting periodic internal checks and follow-ups with departments for
compliance gaps.
9) Handling investor grievances and coordinating with exchange/depository for
resolution.2 | P a g e
Skills & Competencies Required:
1) Strong understanding of SEBI regulations, stock broking compliance, exchange
rules, and DP operations.
2) Familiarity with systems such as NSE ENIT, BSE Portals, CDSL EASY/EDIS, CDSL
Web Audit portal
3) Excellent analytical skills, attention to detail, and ability to interpret regulatory
circulars.
4) Good communication and documentation skills.
5) Ability to work independently and liaise with regulators during audits and
inspections.
Qualifications & Experience:
Education: Graduate/Post-graduate in Commerce, Finance, Business Administration, or
related field.
Certifications (Preferred):
NISM-Series III A - Securities Intermediaries Compliance (Non-Fund) and NISM-Series
VII - Securities Operations and Risk Management Certification
Experience:
3+ years of experience in compliance or relative domain within a stock broking or
depository participant environment

Job Type: Full-time

Pay: ?30,000.00 - ?50,000.00 per month

Benefits:

Health insurance Provident Fund
Work Location: In person