Compliance Executive

We are a SEBI-registered stock broking firm building a lean, cloud-native platform to serve lakhs of clients with a fraction of the headcount of traditional brokers. Our operations run on a centralised Ticket & Operations Management System (TMS), and every team is held to strict SLA governance. We hire for intelligence, curiosity, and the ability to turn regulatory complexity into clean operational systems.

This is a high-ownership compliance role not a box-ticking job. You will work directly with the Chief Compliance Officer, respond to SEBI and exchange queries, manage KYC exception workflows, and own our SEBI SCORES resolution pipeline. If you get excited reading SEBI circulars and instinctively think in process maps and exception logs, this role is for you.

Monitor, interpret, and operationalise SEBI, NSE, BSE, and MCX circulars draft internal action memos for each relevant update

Own the SEBI SCORES portal ensure all client grievance responses are filed within statutory deadlines

Manage KYC exception review workflows within the internal TMS route, track, and close P2-level compliance tickets

Prepare and submit audit documents for exchange inspections; act as primary liaison with inspection officers

Maintain KYC/AML records, conduct periodic client risk reviews, and flag anomalies to the CCO

Support preparation of regulatory returns, STRs, and compliance certificates across NSE, BSE, and MCX

Draft and maintain internal compliance SOPs, process documentation, and inspection checklists

Coordinate with the Technology team to embed compliance rules into RMS and trading systems

CS (Intermediate or Final) OR LLB with capital markets / corporate law specialisation

NISM Series VIII (Equity Derivatives) OR NISM Series X-A / X-B cleared, not just enrolled

Working knowledge of SEBI SCORES, exchange inspection processes, and KYC/AML frameworks

Ability to independently read a SEBI circular and extract actionable compliance tasks

Strong written communication you will draft official responses to regulatory bodies

Articleship or internship at a CA firm handling stock broker audits

Hands-on exposure to SEBI SCORES portal or NSE/BSE compliance portals

Familiarity with PMLA obligations for SEBI-registered intermediaries

Self-initiated NISM certifications beyond the mandatory requirement

Beyond the qualifications, we hire for mindset. The ideal candidate:

Follows SEBI circulars and exchange notifications independently not because their employer asks

Has built a checklist, tracker, or process map at any point in their career without being prompted

Can explain why SEBI mandates T+1 payouts in plain, jargon-free English regulatory fluency means simplifying, not complicating

Has read at least one SEBI consultation paper and has a genuine point of view on it

Direct reporting to the Chief Compliance Officer steep learning curve from Day 1

Ownership of a live regulatory function at a growing, tech-first brokerage

Exposure to SEBI, NSE, BSE, and MCX compliance across all asset classes

• Competitive compensation benchmarked to market; performance-linked growth