Lead – Compliance – Stock Broking/Capital Markets Numeric Talent Solutions

The Corporate Institute; Hinoba-an; On-site; PHP 986,000 - 2,300,000; Full time

Job summary

The Corporate Institute seeks a Lead Compliance to ensure full regulatory, statutory, and internal policy compliance for the broking business. You will oversee compliance frameworks, reporting, surveillance, and advisory support to business teams while upholding governance and ethical standards.

Responsibilities include acting as Compliance Officer, monitoring regulatory developments, coordinating audits and inspections, and guiding KYC/AML and client onboarding norms across the organization.

Qualifications

• Graduate or postgraduate qualifications in Commerce, Law, Finance, or Management.
• CA or LLB professional qualification preferred.
• 10–15 years of experience in compliance within stock broking or capital markets.

Responsibilities

• Ensure compliance with SEBI regulations, stock exchange by-laws, circulars, and guidelines applicable to stock broking operations.
• Act as the designated Compliance Officer as per SEBI and exchange requirements.
• Monitor regulatory developments and assess their impact on business operations.
• Oversee regulatory reporting, disclosures, and periodic filings to SEBI, exchanges, and depositories.

Skills

Regulatory compliance

Governance

Surveillance

KYC/AML compliance

Regulatory reporting

Stakeholder management

Education

Graduate/Postgraduate in Commerce, Law, Finance, or Management

CA / LLB preferred

Job description

Title:

Lead Compliance

Role Description:

Responsible for ensuring full compliance with all applicable regulatory, statutory, and internal policy requirements governing the broking business. The role involves overseeing compliance frameworks, regulatory reporting, surveillance, inspections, and advisory support to business teams while maintaining high standards of governance, ethics, and regulatory discipline.

Job Responsibilities:

Regulatory Compliance & Governance:

• Ensure compliance with SEBI regulations, stock exchange by-laws, circulars, and guidelines applicable to stock broking operations.
• Act as the designated Compliance Officer as per SEBI and exchange requirements.
• Monitor regulatory developments and assess their impact on business operations.

Regulatory Reporting & Filings:

• Oversee timely and accurate submission of regulatory filings, disclosures, and periodic reports to SEBI, stock exchanges, and depositories.
• Coordinate responses to regulatory queries, notices, and inspections.

Surveillance & Monitoring:

• Implement and oversee trade surveillance mechanisms to detect market abuse, insider trading, front running, and other irregular activities.
• Review alerts, investigate exceptions, and escalation issues as required.

Policies, Procedures & Advisory:

• Develop, update, and implement compliance policies, SOPs, and internal control frameworks.
• Provide compliance advisory support to business, sales, dealing, operations, and technology teams.
• Ensure proper implementation of KYC, AML, and client onboarding norms.

Audit & Inspections:

• Coordinate internal audits, system audits, and regulatory inspections.
• Track audit observations, ensure timely closure, and report status to senior management and the Board.

Training & Awareness:

• Conduct periodic compliance training and awareness programs for employees, dealers, and authorized persons.
• Promote a strong compliance culture across the organization.

Stakeholder Management:

• Liaise with regulators, exchanges, depositories, auditors, and internal stakeholders.
• Prepare compliance MIS dashboard and reports for senior management and the Board.

Professional Background:

• Graduate/Postgraduate in Commerce, Law, Finance, or Management.
• Professional qualification such as CA / LLB preferred.
• 1015 years of experience in compliance within the stock broking or capital markets industry.
• In-depth knowledge of SEBI regulations, exchange compliance, and surveillance systems.

Reporting to:

COO

Location:

Mumbai