Regulatory Affairs Division

Job Title: Compliance Executive

Department: Compliance

Location: Noida

Reports to: Compliance Manager / Head of Compliance

Employment Type: Full-Time

Job Summary

We are seeking a detail-oriented and proactive Compliance Executive to join our team in a stock broking firm. The ideal candidate will be responsible for ensuring the company's adherence to all applicable regulatory guidelines, with a focus on operational compliance and reporting activities mandated by SEBI, stock exchanges, and other regulatory bodies. This includes daily margin reporting, segregation reporting, handling off-site alerts, and preparing documentation.

Key Responsibilities

1. Preparation and timely submission of daily client margin reports to exchanges (NSE/BSE/MCX/NCDEX/MSEI) as per SEBI regulations.

2. Coordination with the RMS team to ensure accuracy and completeness of margin data.

3. Preparation and submission of daily segregation report to exchanges within prescribed timelines.

4. Review, analyze, and address off-site/on-site alerts received from stock exchanges or regulatory bodies.

5. Maintain records of actions taken and ensure timely closure of all alerts.

6. Prepare client-wise files for monthly/quarterly settlement of funds as per SEBI regulations.

7. Assist in preparation of data for periodic internal audits and inspections by exchanges or regulatory authorities.

8. Keep abreast of regulatory updates/circulars and assist in updating internal processes/policies accordingly.

9. Assist in drafting SOPs and policies in line with the latest regulatory changes.

Required Qualifications and Skills

• Bachelors degree in Commerce, Finance, or related field (Master’s/MBA preferred).
• 1–3 years of experience in compliance within a stock broking company or related financial services firm.
• Proficient in Excel and other MS Office tools
• Strong attention to detail, analytical skills, and ability to work independently.
• Good communication skills for interacting with internal departments and external regulators.

Preferred Certifications:

NISM Series–III-A (Securities Intermediaries Compliance)

NISM Series–VII (Securities Operations and Risk Management)