Job Title: Compliance Officer Stock Broking
Location: Noida (Sector 94)
Experience: 2 – 4 Years (Relevant Experience Required)
Qualification: Graduate (Any Graduate or B.Com / BBA / MBA Finance preferred)
Job Overview:
We are looking for a Compliance Officer with hands-on experience in stock broking compliance who can manage and support the end-to-end regulatory requirements for setting up and operating a stock broking business. The candidate should have strong practical knowledge of SEBI regulations, NSE/BSE membership requirements, and compliance processes involved in broker registration and ongoing operations.
Key Responsibilities:
- Handle end-to-end compliance and documentation for stock broker registration (SEBI, NSE/BSE)
- Assist in broker setup process including regulatory approvals and exchange membership
- Ensure adherence to SEBI regulations, exchange guidelines, and compliance frameworks
- Manage KYC, AML, and client onboarding compliance processes
- Coordinate with exchanges (NSE/BSE), regulators, consultants, and internal stakeholders
- Maintain and organize compliance records, documentation, and regulatory filings
- Monitor compliance requirements and ensure timely implementation of all regulatory obligations
- Support management in ensuring smooth launch and compliant functioning of the brokerage
Mandatory Requirements:
- Prior experience in stock broking / capital markets compliance
- Strong working knowledge of SEBI regulations and NSE/BSE requirements
- Experience or exposure in broker registration / setup process
- NISM Series VII (SORM) certification Mandatory
- NISM Series VIII (Equity Derivatives) Preferred / Required if derivatives involved
- Good understanding of KYC / AML guidelines
Preferred Skills:
- Experience in handling regulatory documentation and approvals
- Familiarity with broking operations, compliance systems, and exchange processes
- Strong coordination and documentation skills
Compensation:
Salary as per industry standards (Negotiable based on experience and expertise)
Important Note:
This role involves active participation in stock broking setup and compliance management. Candidates with practical exposure to similar responsibilities will be preferred.
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