Compliance Officer – Stock Broking

Gretex Share Broking Limited; Mumbai; On-site; INR 1,200,000 - 2,200,000; Full time

Job summary

Gretex Share Broking Limited invites a seasoned Compliance Officer to own regulatory compliance across BSE, NSE, NSDL and SEBI in Mumbai. You will oversee reporting, surveillance, audits and investor grievances, translating new circulars into practical controls.

The role demands 5–8 years in stock broking or capital markets, and a Commerce/Finance/Law background with NISM certifications. SCORES experience and depository compliance will be highly valued.

Qualifications

• 5–8 years of compliance experience in stock broking or capital markets.
• Graduate or postgraduate in Commerce, Finance or Law (LLB or MBA preferred).
• NISM certifications as required by SEBI.
• Hands-on with SCORES and depository compliance.

Responsibilities

• Submit regulatory reports to BSE, NSE and NSDL on time, including client-AP mapping and MTF declarations.
• Manage investor grievances via SEBI SCORES and exchange platforms, maintaining records.
• Monitor exchange alerts; run internal surveillance and monthly reporting; escalate suspicious transactions.
• Coordinate audits and filings: Networth Certificates, financials, Annual Returns, RBS, RAT; track certifications.
• Review SEBI/exchange circulars and drive implementation; manage approvals for structural changes.

Skills

Regulatory reporting

Investor grievances handling

Surveillance & risk management

Audits & filings

Governance & compliance

Education

Bachelor/Master in Commerce/ Finance/ Law (LLB/MBA preferred)

Tools

SCORES

Exchange surveillance alerts

Depository compliance

Job description

Company:Gretex Share Broking Limited |Location:Mumbai |Type:Full-time, On-site

About the role

Gretex Share Broking Limited (GSBL), part of the Gretex Group, is hiring a Compliance Officer. You will own regulatory compliance across BSE, NSE, NSDL and SEBI. That covers reporting, surveillance, audits, investor grievances and putting new circulars into practice.

What you’ll do

• Regulatory reporting:Submit reports to BSE, NSE and NSDL on time, including client-AP mapping, MTF declarations, surveillance obligations and SAAS. File STR, NTR and NIL reports and compliance certificates. Report cyber incidents.
• Investor grievances:Resolve complaints on SEBI SCORES and the exchange platforms within timelines, and keep proper records.
• Surveillance and risk:Review and respond to exchange alerts, run internal surveillance with monthly reporting, and elevate suspicious transactions.
• Audits and filings:Coordinate internal, system, cyber and VAPT audits. File Networth Certificates, financials, Annual Returns, RBS and RAT. Track NISM certifications and support the institutional team with empanelment documentation.
• Governance:Review SEBI, exchange and depository circulars and drive implementation across teams. Inspect Authorised Persons and report findings. Handle approvals for structural changes such as director changes or shareholding updates.

What we’re looking for

• 5–8 years of compliance experience in stock broking or capital markets
• Graduate or postgraduate in Commerce, Finance or Law (LLB or MBA preferred)
• Relevant NISM certifications, as required by SEBI
• Hands-on with SCORES, exchange surveillance alerts and depository compliance