Compliance Officer

Neuraleap Group; Bengaluru; On-site; INR 1,200,000 - 1,800,000; Full time

Benefits offered by this job

Dynamic startup environment

Career growth in compliance and goverm

Competitive salary and benefits

Job summary

Bullsmart, a fintech firm in Bengaluru, seeks a seasoned Regulatory Compliance specialist to oversee SEBI, exchange rules, AML/KYC, and reporting for stockbroking operations.

You will manage audits, ensure accurate margins and settlements, and coordinate with internal teams for pre-trade requirements while keeping up with regulatory updates. This role demands sharp analysis and precise execution in a dynamic startup environment.

Qualifications

• Graduate or postgraduate in commerce, law or related field.
• 3–4 years of regulatory compliance experience in stockbroking or financial services.
• Strong knowledge of SEBI, NSE, BSE, MCX, NCDEX, CDSL/NSDL regulations.
• Experience with NEAT, TWS, CTCL, RMS and back-office software systems.
• Familiarity with AML guidelines, KYC norms, and trade settlements.
• Excellent analytical, communication, and problem-solving skills.
• High attention to detail and ability to meet regulatory deadlines.

Responsibilities

• Ensure day-to-day compliance with SEBI regulations and exchange guidelines.
• Monitor and report AML transactions.
• File periodic regulatory reports including margin trading and KYC updates.
• Manage audits and exchange inspections.
• Submit SARs and Annual Returns to exchanges in digital and physical formats.
• Execute and report Bulk Deals to NSCCL.
• Operate NEAT, TWS, CTCL, and RMS terminals for NSE/BSE/MCX/USEIL.
• Ensure accurate client margins and fund/securities reporting to exchanges.
• Coordinate with internal teams to ensure pre-trade margin submissions.
• Oversee RMS and surveillance system operations; update exchanges on structural changes.
• Keep KYC formats aligned with regulatory updates; manage registrations and uploads.
• Back-office accounting and DP operations for CM, F&O, CDS, MF, and CDSL.
• Reconcile daily trades and settlements; implement SEBI circulars and exchange notices.

Skills

SEBI regulations

NSE BSE MCX NCDEX regulations

NEAT

TWS

CTCL

RMS

AML/KYC familiarity

Trade settlements

Analytical skills

Communication skills

Detail-oriented

Regulatory deadlines

Education

Graduate in Commerce/Law

Postgraduate in Commerce/Law

Tools

NEAT

TWS

CTCL

RMS

Back-office software

Job description

• Bullsmart is a fin-tech company that uses technology to help young people start investing, providing equal investment service opportunities and sharing cutting-edge financial tech tools, brilliant investment ideas, and wealth growth opportunities with young investors.
• The company values providing premier investment services to beginners, offering abundant tools to guide investment decisions, and deeply caring about investor growth by fostering their investment skills.

About The Opportunity

• Bullsmart is a fin-tech company that uses technology to help young people start investing, providing equal investment service opportunities and sharing cutting-edge financial tech tools, brilliant investment ideas, and wealth growth opportunities with young investors.
• The company values providing premier investment services to beginners, offering abundant tools to guide investment decisions, and deeply caring about investor growth by fostering their investment skills.

Role & 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.
• Manage various audits including internal audit and exchange surprise inspections.
• Submit System Audit Reports (SAR) and Annual Returns to respective exchanges in both digital and physical formats.
• Execute and report Bulk Deals to NSCCL.
• Activate and manage NEAT, TWS, CTCL, and IBT terminals for NSE, BSE, MCX-SX & USEIL.
• Calculate and report client margins/funding positions accurately to exchanges.
• Coordinate with internal teams to ensure margin trading clients submit necessary details pre-trade.
• Manage Pay-In and Pay-Out of funds for CM, F'O, and CDS segments.
• Oversee Pay-In and Pay-Out of securities for CM segment.
• Ensure accurate and daily client margin reporting for F'O and Currency segments to NSCCL.
• 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, CDS, Mutual Funds, and CDSL (currently CM & F'O).
• Implement changes based on new SEBI circulars and exchange notifications.
• Ensure accurate reconciliation of daily trades and timely T+1/T+2 settlements.
• Process client fund and security pay-ins/payouts within prescribed timelines.

Skills & Qualifications

Must-Have

• Graduate/postgraduate in Commerce, Law, or a related field.
• Minimum 3-4 years of experience in regulatory compliance, preferably in a stockbroking or financial services firm.
• Strong knowledge of SEBI, NSE, BSE, MCX, NCDEX, CDSL/NSDL regulations.
• Experience with NEAT, TWS, CTCL, RMS, and back-office software systems.
• Familiarity with AML guidelines, KYC norms, and trade settlements.
• Excellent analytical, communication, and problem-solving skills.
• High attention to detail and ability to work under regulatory deadlines.

Benefits & Culture Highlights

• 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.

Skills: sebi,bse,neat,trade settlements,nse,cdsl,aml,ncdex,mcx,kyc,tws,rms,nsdl,ctcl