- Company: Nidhi Broking Services Private Limited
- Thane West
- As per industry standards (can be discussed based on experience) INR / Month
- This position has been filled
We are a growing stock broking firm committed to maintaining the highest standards of regulatory compliance and ethical practices. We are member of BSE and CDSL DP we are looking for a dedicated Compliance Officer/Manager to strengthen our compliance framework and ensure adherence to regulatory requirements.
Key Responsibilities:
1.Ensure compliance with regulations of SEBI, Exchanges (NSE/BSE), and Depositories.
2.Handle all compliance-related filings, reports, and documentation.
3.Monitor daily transactions to ensure regulatory adherence.
4.Manage internal audits and coordinate with external auditors.
5.Stay updated with regulatory circulars and implement changes.
6.Handle inspections, notices, and queries from regulators.
7.Maintain compliance records and reports.
8.Develop and implement internal compliance policies and SOPs.
9.Train junior staff/s on compliance and regulatory requirements.
“Only candidates with prior experience in stock broking compliance will be considered.”