Compliance Officer

Stock Bazaar; Delhi; On-site; INR 1,500,000 - 2,100,000; Full time

Benefits offered by this job

NISM certification

Job summary

Stock Bazaar, a market data and research platform in India, seeks a qualified Company Secretary (CS) with LLB to lead SEBI compliance, company law and disclosures.

You will maintain statutory registers, convene meetings, file with MCA, draft policies and manage regulator queries.

3+ years post-qualification, SEBI experience mandatory, strong English drafting, and ability to work independently in a lean team. Experience in stock market or data industry preferred.

Qualifications

• 3+ years of post-qualification experience in a compliance role
• Working knowledge of the Companies Act, 2013 and SEBI regulations
• Experience preparing regulatory filings and maintaining statutory records
• Strong drafting skills in English

Responsibilities

• Ensure compliance with SEBI regulations, circulars and guidelines
• Track regulatory developments affecting market data, research distribution and investor-facing platforms
• Prepare and file periodic regulatory returns and disclosures
• Liaise with SEBI, exchanges and other regulators on queries, inspections and correspondence
• Maintain statutory registers, minutes and records under the Companies Act, 2013
• Convene and record Board and shareholder meetings, including notices, agendas and resolutions
• File returns and forms with the MCA and Registrar of Companies
• Support corporate actions, share allotments and related filings
• Draft, maintain and update internal compliance policies, including the Code of Conduct, insider trading policy and research disclosure norms
• Conduct internal compliance reviews and maintain audit trails
• Run compliance training and awareness sessions for employees
• Review marketing, research and platform content for regulatory accuracy
• Advise management on the regulatory implications of new products and features
• Identify compliance risks early and recommend mitigation
• Manage relationships with external legal counsel and auditors

Skills

SEBI compliance

English drafting

Independent work

Education

CS

LLB

Job description

Stock Bazaar is a market data and research platform serving Indian retail investors. As we scale, you'll own the compliance function — keeping us aligned with SEBI regulations, company law and the obligations that come with distributing market data and research.

Key responsibilities

SEBI and regulatory compliance

• Ensure compliance with applicable SEBI regulations, circulars and guidelines
• Track regulatory developments affecting market data, research distribution and investor-facing platforms
• Prepare and file periodic regulatory returns and disclosures
• Liaise with SEBI, exchanges and other regulators on queries, inspections and correspondence

Secretarial and corporate

• Maintain statutory registers, minutes and records under the Companies Act, 2013
• Convene and record Board and shareholder meetings, including notices, agendas and resolutions
• File returns and forms with the MCA and Registrar of Companies
• Support corporate actions, share allotments and related filings

Policy and internal controls

• Draft, maintain and update internal compliance policies, including the Code of Conduct, insider trading policy and research disclosure norms
• Conduct internal compliance reviews and maintain audit trails
• Run compliance training and awareness sessions for employees
• Review marketing, research and platform content for regulatory accuracy

Risk and advisory

• Advise management on the regulatory implications of new products and features
• Identify compliance risks early and recommend mitigation
• Manage relationships with external legal counsel and auditors

Requirements

• Qualified Company Secretary (CS) and LLB — both mandatory
• Minimum 3 years of post-qualification experience in a compliance role
• SEBI-related compliance experience is mandatory — hands-on, not theoretical
• Working knowledge of the Companies Act, 2013 and SEBI regulations
• Experience preparing regulatory filings and maintaining statutory records
• Strong drafting skills in English
• Ability to work independently in a lean team

Good to have

• Experience in the stock market, broking, research analyst or market data industry
• Familiarity with the SEBI (Research Analysts) Regulations
• Exposure to a startup or high-growth environment
• NISM certification