Compliance Executive

Equirus; Mumbai; On-site; INR 700,000 - 1,000,000; Full time

Job summary

Equirus is seeking a compliance professional with 3–4 years of experience in the stockbroking/DP domain. The role requires NISM III-A and VI certifications and involves ensuring adherence to SEBI regulations and related laws, preparing regulatory reports, and coordinating with exchanges and auditors.

The candidate will maintain regulatory trackers, update policies, address investor grievances, and support regulatory inspections and renewals of certifications as required.

Qualifications

• 3–4 years in Compliance with a Stockbroker or DP
• NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program
• Assisting in ensuring compliance with SEBI regulations and other applicable laws

Responsibilities

• Preparing and submitting regulatory reports and disclosures to SEBI, Stock Exchanges and Depositories
• Coordinating with Stock Exchanges, Depositories, Auditors on compliance matters
• Reviewing and updating policies, SOPs, and compliance documents
• Maintaining regulatory trackers and supporting timely closure of compliance activities
• Handling investor grievances and coordinating timely resolution
• Drafting replies to regulatory queries and notices
• Tracking validity of NISM certifications and coordinating renewals

Skills

Regulatory compliance

SEBI regulations

Regulatory reporting

Education

Graduate / Post-Graduate in relevant field

CS / LLB or equivalent

Job description

• Graduate / Post-Graduate / CS / LLB or equivalent.

Experience:

• 3-4 years in Compliance with a Stockbroker or DP.
• Having certificate of NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program.
• Assisting in ensuring compliance with the SEBI (Stock Brokers) Regulations, SEBI (Research Analysts) Regulations, SEBI (Depositories and Participants) Regulations, SEBI (Prohibition of Insider Trading) Regulations, 2015, and other applicable laws, rules, regulations, circulars and guidelines.
• Assisting in compliance activities relating to Wealth Distribution, Research Analyst, Depository Participant, Stock Broking and other products/services offered by the Company.
• Preparing and submitting regulatory reports, filings and disclosures to SEBI, Stock Exchanges, Depositories and other regulatory authorities within prescribed timelines.
• Coordinating with Stock Exchanges, Depositories, Auditors and other regulatory authorities on compliance-related matters.
• Reviewing and updating policies, SOPs, forms and other compliance documents in line with applicable regulatory requirements.
• Maintaining regulatory trackers and supporting timely closure of compliance activities.
• Handling investor grievances and coordinating their timely resolution.
• Providing information and documentation required for regulatory inspections, audits and reviews conducted by SEBI, Stock Exchanges, Depositories and Internal Auditors.
• Tracking the validity of NISM certifications and coordinating timely renewal and reporting to the Stock Exchanges.
• Drafting replies to regulatory queries, notices and other regulatory correspondence.
• Performing any other compliance-related responsibilities assigned from time to time.