Senior Compliance Executive

Miracles Fintech; Ahmedabad District; On-site; INR 900,000 - 1,300,000; Full time

Job summary

Miracles Fintech in Ahmedabad is seeking a Compliance Officer to ensure adherence to SEBI, NSE, BSE, MCX and related regulatory requirements. You will oversee stock broking compliance, maintain records, and coordinate with regulators and internal teams.

The ideal candidate has a strong finance/law/commerce background, experience in capital markets or compliance, and excellent documentation and MS Excel skills. Join a fast-moving fintech environment focused on regulatory excellence.

Qualifications

• Graduate or postgraduate in Finance, Commerce, Law, Business Admin or related field.
• Experience in stock broking, capital markets, DP, financial services or compliance.
• Strong understanding of SEBI and stock exchange regulations.
• Familiarity with NSE/BSE/MCX compliance processes is an advantage.
• Excellent documentation, analytical and communication skills.
• Proficient with MS Excel, Word and office tools.

Responsibilities

• Ensure compliance with SEBI, exchange and regulatory guidelines.
• Monitor day-to-day compliance across business and operations.
• Maintain and review regulatory records, registers, reports and documentation.
• Coordinate with NSE, BSE, MCX, SEBI and other authorities as needed.
• Prepare and submit periodic regulatory and exchange reports.
• Monitor client onboarding, KYC, AML, trading and processes.
• Identify compliance gaps or risks in internal processes.
• Support audits, inspections and regulatory reviews.
• Track circulars and updates; communicate changes internally.
• Close compliance observations and audit findings timely.
• Coordinate with DP, Operations, Trading, Accounts, Technology and other departments.
• Maintain records of compliance activities and follow-up actions.
• Assist senior management in implementing compliance controls.

Skills

Regulatory understanding

Analytical skills

Communication skills

Attention to detail

Independence / confidential handling

Education

Graduate in Finance, Commerce, Law or related field

Tools

MS Excel

MS Word

Job description

About the Role

Miracles Fintech is looking for a detail-oriented and responsible Compliance Officer to join our team and ensure that our operations remain aligned with applicable SEBI, NSE, BSE, MCX and other regulatory requirements.

The ideal candidate should have a strong understanding of stock broking compliance, excellent documentation skills, and the ability to coordinate effectively with internal teams and regulatory authorities.

Key Responsibilities

• Ensure compliance with applicable SEBI, exchange and regulatory guidelines.
• Monitor day-to-day compliance activities across business and operational functions.
• Maintain and review regulatory records, registers, reports and documentation.
• Coordinate with NSE, BSE, MCX, SEBI and other regulatory authorities whenever required.
• Assist in preparing and submitting periodic regulatory and exchange reports.
• Monitor compliance requirements related to client onboarding, KYC, AML, trading and operational processes.
• Review internal processes and identify potential compliance gaps or risks.
• Support internal and external audits, inspections and regulatory reviews.
• Track regulatory circulars, notifications and updates and communicate relevant changes internally.
• Ensure timely closure of compliance observations and audit findings.
• Coordinate with DP, Operations, Trading, Accounts, Technology and other departments on compliance-related matters.
• Maintain proper records of compliance activities and follow-up actions.
• Assist senior management in implementing and maintaining effective compliance controls.

What We're Looking For

• Graduate/Postgraduate in Finance, Commerce, Law, Business Administration or a related field.
• Relevant experience in stock broking, capital markets, DP, financial services or compliance preferred.
• Good understanding of SEBI and stock exchange regulations.
• Familiarity with NSE/BSE/MCX compliance processes will be an advantage.
• Strong documentation, analytical and communication skills.
• Good command of MS Excel, Word and other office tools.
• Ability to work independently and handle confidential information responsibly.
• Strong attention to detail and ability to meet regulatory deadlines.

What You Get

Why Miracles Fintech?

At Miracles Fintech, we're building technology-driven solutions for the modern financial markets — combining trading, technology, AI and automation to create scalable and high-performance financial products.

If you're looking to build your career in a fast-moving financial technology environment, we'd love to hear from you.