Compliance Officer

Super Scholar; Mumbai; On-site; INR 600,000 - 1,200,000; Full time

Benefits offered by this job

Dynamic startup atmosphere

Stock broker environment

Career growth in governance

Competitive salary

Job summary

Bullsmart, a fintech startup in Mumbai, seeks a Regulatory Compliance Specialist to ensure SEBI rules, AML norms, and exchange guidelines are followed daily. You will oversee filings, audits, and KYC updates, coordinating with internal teams to maintain accurate records.

The role requires 3–4 years in regulatory compliance within financial services, with deep knowledge of NSE/BSE/NSDL/CDSL rules and meticulous attention to deadlines. You will contribute to a compliant, growth-driven environment.

Qualifications

• Graduate/ postgraduate in Commerce, Law, or related field.
• 3–4 years of experience in regulatory compliance in 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.

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 disclosures and KYC updates.
• Manage audits including internal audits and exchange inspections.
• Submit System Audit Reports and Annual Returns to exchanges in digital and physical formats.
• Calculate and report client margins/funding positions to exchanges.
• Coordinate with internal teams to ensure margin trading clients submit required details pre-trade.
• Oversee pay-ins/pay-outs of funds and securities for various segments.
• Ensure accurate reconciliation of daily trades and timely settlements.

Skills

Regulatory compliance

AML knowledge

KYC norms

Analytical skills

Communication skills

Attention to detail

Education

Bachelors/Masters in Commerce or Law

Tools

NEAT

TWS

CTCL

RMS

Back-office software

Job description

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.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.