Compliance Officer

HITACHI VANTARA INDIA PRIVATE LIMITED; Gujarat; On-site; INR 600,000 - 720,000; Full time

Job summary

HITACHI VANTARA INDIA PRIVATE LIMITED is seeking a Compliance Officer to ensure day-to-day adherence to SEBI regulations, circulars, and exchange guidelines. You will monitor AML transactions, prepare periodic regulatory reports, and manage KYC updates and documentation in a fast-paced stock broking environment.

The role involves handling RMS and surveillance system operations, filing SARs and annual returns, and implementing SEBI circular changes.

Qualifications

• Strong knowledge of SEBI regulations, exchange bye‑laws, and CDSL regulations.
• Experience with AML guidelines and KYC compliance processes.
• Ability to prepare regulatory reports and maintain documentation.

Responsibilities

• Ensure day-to-day compliance with SEBI regulations, circulars, and exchange/depository guidelines.
• Monitor and report suspicious transactions under AML guidelines.
• File periodic reports with regulatory authorities, including margin trading, financial disclosures, and KYC updates.
• Submit System Audit Reports (SAR) and Annual Returns to exchanges in digital and physical formats.
• Handle RMS and surveillance system operations, including file uploads and monitoring.
• Notify exchanges of 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.
• Implement changes based on new SEBI circulars and exchange notifications.

Skills

SEBI regulations

Analytical skills

Regulatory documentation

Education

NISM-Series-III-A: Securities Intermediaries Compliance

NISM-Series-III-C: Securities Intermediaries Compliance (Fund)

Graduate or postgraduate degree in Law, Finance, Commerce

Tools

Surveillance system

Job description

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