Job Title: Compliance Officer - BROKING

Level: Manager/Sr. Manager

Location: GIFT City, Gandhinagar

Key Responsibilities:

Regulatory & Compliance Oversight

Ensure compliance with International Financial Services Centres Authority (Capital market) / SEBI (Stockbrokers) Regulations, , and relevant exchange circulars (NSE/BSE).
Monitor adherence to client on-boarding, KYC, CKYC, AML, and FATCA requirements.

Sales & Distribution Compliance

Review and monitor sales practices, distributor conduct, and incentive structures to ensure regulatory alignment.
Conduct pre-trade and post-trade compliance checks where required.
Ensure suitability, appropriateness, and risk profiling norms are followed for clients.
Review marketing materials, pitch books, product notes, and client communications for compliance.

Monitoring, Reporting & Controls

Prepare and submit periodic regulatory reports to IFSC/ SEBI, Exchanges, and Depositories.
Track regulatory changes and issue impact notes and implementation guidance to business teams.
Conduct internal compliance testing, audits, and surveillance of transactions.
Handle compliance aspects of inspections, audits, and regulatory queries.

Policies, Training & Governance

Draft, update, and implement compliance policies, SOPs, and control frameworks.
Conduct regular compliance trainings for Relationship Managers, dealers, and distribution teams.
Support the Compliance Head in board / committee updates on broking distribution compliance matters.

Stakeholder Management

Act as a key compliance partner to , Sales, Dealing, Operations, and Product teams.
Liaise with regulators, exchanges, auditors, and internal stakeholders.

Qualifications & Experience

Qualified Company Secretary / CA / LLB / MBA (Finance) preferred.
3 6 years of experience in broking / wealth management / financial services compliance.
Prior experience with SEBI inspections or exchange audits is an advantage.

Compliance Officer