Stock Broking Compliance officer(SEBI)

Surfin Creatives; Bengaluru; On-site; INR 900,000 - 1,300,000; Full time

Job summary

Surfin Creatives is seeking a meticulous Compliance Officer to ensure adherence to SEBI, stock exchange, and depository regulations. The candidate will oversee AML, KYC, reporting, and back-office operations across CM, F&O, and CDS segments, ensuring timely SARs, margin reporting, and settlements.

Requirements include 3–7 years in financial regulatory compliance, familiarity with NEAT/TWS/CTCL RMS, and strong analytical skills.

Qualifications

• Minimum 3–7 years of regulatory compliance experience in stockbroking/financial services.
• Strong knowledge of SEBI/NSE/BSE/CDSL/NSDL regulations and circulars.
• Experience with back-office systems, RMS, and trade settlements.

Responsibilities

• Ensure day-to-day compliance with SEBI regulations, exchange/depository guidelines.
• Monitor AML and report suspicious transactions.
• Submit regulatory reports including margin, disclosures, and KYC updates.
• File SARs and Annual Returns to exchanges in digital/physical formats.
• Manage NEAT, TWS, CTCL, and IBT terminals for NSE, BSE, MCX-SX & USEIL.
• Coordinate client margin reporting and pre-trade client details with internal teams.
• Oversee back-office accounting and DP operations for CM, F&O, CDS, and funds.
• Implement SEBI circulars and exchange notifications; reconcile daily trades.

Skills

Regulatory compliance

SEBI regulations

AML guidelines

KYC norms

Trade settlements

Education

Commerce/Law degree

Tools

NEAT

TWS

CTCL RMS

NSDL/CDSL software

Job description

Job Summary:

We are seeking a meticulous and experienced Compliance Officer to ensure our operations strictly adhere to all regulatory requirements laid down by SEBI, Stock Exchanges, Depositories , and other governing bodies. The ideal candidate will have a deep understanding of capital market regulations, surveillance systems, and back-office operations in CM, F&O, and CDS segments.

Key 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.
• 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.

Qualifications & Skills:

• Graduate/postgraduate in Commerce, Law, or a related field.
• Minimum 3 - 7 years of experience in regulatory compliance, preferably in a stockbroking or financial services firm.
• Strong knowledge of SEBI, NSE, BSE, 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.

Why Join Us?

• Opportunity to work in adynamic startup, stock broking environment.
• Career growth inlegal, compliance, and corporate governance.
• Competitive salary and benefits as per industry standards.