MA
Compliance Officer
MARFATIA STOCK BROKING PRIVATE LIMITED · Vadodara
Pay₹6L–7.2La year, as listed
WhereVadodaraGujarat
TypeFull time
Posted19 Oct6 days ago, via SimplyHired
Kaam checked
No fee, deposit or pay-to-apply signs
Day work
No vehicle or licence needed
Skills they list23 named
Monitoring regulatory changesTransaction monitoringFinancial compliance reportingLawCompliance record maintenanceRegulatory financial reportingFinanceBachelor's degree – FinanceBack office operationsB.ComBack office processingMaster's degreeRegulatory compliance monitoringAnalysis skillsSuspicious activity reportingAccountingRegulatory submissionsFinancial regulatory complianceRegulatory compliance reportingSuspicious activity escalationDocumentation handlingSEBI compliance guidelinesExperience at securities companies
About this job
- Post
- Compliance Officer
Key Responsibilities
- Ensure day-to-day compliance with SEBI regulations, circulars, and exchange/depository guidelines.
- Monitor and report suspicious transactions under Anti-Money Laundering (AML) guidelines.
- File periodic reports with regulatory authorities, including margin trading, financial disclosures, and KYC compliance updates.
- Submit System Audit Reports (SAR) and Annual Returns to respective exchanges in both digital and physical formats.
- Handle day-to-day RMS and surveillance system operations, including file uploads and monitoring.
- Notify exchanges promptly of any changes in constituent structures.
- Keep KYC formats and client documentation aligned with regulatory updates; manage exchange registrations and uploads.
- Perform back-office accounting and DP operations for CM, F&O, and CDSL (currently CM & F&O).
- Implement changes based on new SEBI circulars and exchange notifications.
Eligibility & Qualifications
- Education: Graduate or postgraduate degree in Law, Finance, Commerce, preferred NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund), NISM-Series-III-C: Securities Intermediaries Compliance (Fund)
- Strong knowledge of SEBI, NSE, BSE, CDSL regulations.
- Experience: Generally requires 1 to 3 years of hands-on compliance or back-office experience in the stock broking or capital markets industry.
- Skills: In-depth knowledge of SEBI regulations, exchange bye-laws, strong analytical abilities, and regulatory documentation skills
Why Join Us?
Opportunity to work in a dynamic startup, stock broking environment.
Career growth in legal, compliance, and corporate governance.
Competitive salary and benefits as per industry standards.
- Pay
- ₹600,000.00 - ₹720,000.00 per year
- Work Location
- In person
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