Compliance Officer (Broking)

Roots Recruitment; Mumbai; On-site; INR 600,000 - 900,000; Full time

Job summary

Roots Recruitment in Mumbai seeks a compliance officer to ensure regulatory adherence across Exchanges, SEBI, RBI and related authorities. You will respond to compliance queries from exchanges and operations, and support audits for a broking firm.

You should be proficient in account opening/closing/modification end-to-end and possess solid knowledge of MTF operations. This role demands meticulous regulatory understanding and proactive problem solving.

Responsibilities

• Ensuring compliance with all rules & regulations framed by regulatory authorities like Exchanges, SEBI, CDSL, RBI etc.
• Answering any compliance related queries raised by exchanges /functional / operations departments.
• Assist in stock exchange audits for our broking firm.
• Should know account opening/closing/modification processes from start to end.
• Should have thorough knowledge regarding the operations of MTF

Job description

Role & responsibilities

• Ensuring compliance with all rules & regulations framed by regulatory authorities like Exchanges, SEBI, CDSL, RBI etc.
• Answering any compliance related queries raised by exchanges /functional / operations departments.
• Assist in stock exchange audits for our broking firm.
• Should know account opening/closing/modification processes from start to end.
• Should have thorough knowledge regarding the operations of MTF