Compliance Officer

DELTA VIBE BROKING PVT LTD; Rajkot; On-site; INR 700,000 - 1,000,000; Full time

Job summary

DELTA VIBE BROKING PVT LTD is seeking a qualified Compliance Officer to oversee regulatory adherence across SEBI, NSE/BSE/MCX, and depositories, and to strengthen internal controls.

You will file reports, manage inspections, monitor KYC, AML, and risk, and coordinate with regulator bodies. The role requires 2+ years in broking compliance, a commerce/law/finance background, and certification such as NISM III-A. Proficiency in Excel and back-office software is essential.

Qualifications

• Graduate/Postgraduate in Commerce, Law, or Finance.
• NISM Series III-A (Securities Intermediaries Compliance – Non-Fund) certification is mandatory.
• Minimum 2 years of hands-on compliance experience with a broking house.
• Working knowledge of SEBI Act, SCRA, Exchange bye-laws, PMLA, and Depository regulations.
• Strong drafting, reporting, and documentation skills.
• Proficiency in Excel and back-office/compliance software.

Responsibilities

• Ensure compliance with SEBI regulations, Exchange and Depository circulars, and PMLA/AML guidelines.
• File all periodic and event-based reports with SEBI, Exchanges, and Depositories within timelines.
• Handle Exchange/SEBI inspections, audits, and implement closure of observations.
• Monitor client onboarding, KYC/re-KYC, UCC and PAN records, and risk categorization.
• Oversee surveillance alerts, STR reporting to FIU-IND, and suspicious activity monitoring.
• Manage investor grievances and SCORES/ODR resolution within timelines.
• Review advertisements and client communications for regulatory compliance.
• Frame and implement internal compliance policies; conduct staff training.
• Maintain compliance calendar, registers, and reports to the Board/Management.

Skills

Regulatory compliance

Drafting & reporting

Experience in broking

Education

Graduate/Postgraduate in Commerce/Law/Finance

Tools

Excel

Compliance software

Job description

We are a SEBI-registered stock broking firm and Exchange Member seeking a qualified Compliance Officer to oversee regulatory adherence, manage exchange and regulator interactions, and strengthen internal controls across the organization.

Key Responsibilities

• Ensure compliance with SEBI regulations, Exchange (NSE/BSE/MCX) and Depository (CDSL/NSDL) circulars, and PMLA/AML guidelines
• File all periodic and event-based reports and returns with SEBI, Exchanges, and Depositories within prescribed timelines
• Handle Exchange/SEBI inspections, internal and concurrent audits — coordinate submissions, replies, and closure of observations
• Monitor client onboarding, KYC/re-KYC, UCC and PAN records, and risk categorization
• Oversee surveillance alerts, suspicious transaction monitoring, and STR reporting to FIU-IND
• Manage investor grievances and SCORES/ODR complaint resolution within timelines
• Review advertisements, marketing material, research content, and client communication for regulatory compliance
• Frame, update, and implement internal compliance policies, manuals, and SOPs; conduct staff training
• Maintain compliance calendar, registers, and records; report periodically to the Board/Management

Required Skills & Qualifications

• Graduate/Postgraduate in Commerce, Law, or Finance.
• NISM Series III-A (Securities Intermediaries Compliance – Non-Fund) certification is mandatory
• Minimum 2 years of hands‑on compliance experience with a broking house
• Working knowledge of SEBI Act, SCRA, Exchange bye-laws, PMLA, and Depository regulations
• Strong drafting, reporting, and documentation skills
• Proficiency in Excel and back-office/compliance software