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Posted on 26 Aug, 2026
In Office
Job Description | Responsibilities
- Ensure compliance with SEBI, Stock Exchange and Depository regulations.
- Support compliance for stock broking, DP, research and wealth distribution.
- Prepare regulatory reports, filings and disclosures.
- Coordinate with SEBI, exchanges, depositories and auditors.
- Maintain compliance trackers and update policies/SOPs.
- Handle investor grievances and regulatory inspections.
- Draft responses to regulatory queries and notices.
- Track and renew NISM certifications.
Overview
- Industry - BANKING / FINANCIAL SERVICES / BROKING
- Job Role - Compliance & Control - Executive / Manager, CCO - Chief Compliance Officer, Compliance Analyst, Stock Broker, Compliance Associate
- Employment type - Full Time - Permanent
- Work Mode - In Office
Qualifications
- Any Graduate - Any Specialization
- Any Post Graduate - Any Specialization
- Any Doctorate - Any Specialization
Job Related Keywords
Compliance Executive
Compliance Officer
Regulatory Compliance Officer
Risk & Compliance Executive
SEBI Compliance
Stock Broking Compliance
Regulatory Compliance
NISM III-A
NISM VI
Depository Compliance
NSE
BSE
CDSL
NSDL
Regulatory Reporting
Regulatory Filings
Investor Grievance
Compliance Audit
Capital Markets
