Compliance Executive

Compliance Executive / Officer – Back Office Operations

Department: Compliance / Back Office Operations

Industry: Stock Broking / Capital Markets

Location: Jodhpur

Experience: 1–6 Years

Employment Type: Full-Time

Job Summary

We are looking for a detail-oriented Compliance professional to support compliance monitoring and regulatory requirements across Back Office Operations of a stock broking firm. The role will involve ensuring adherence to SEBI, NSE, BSE, CDSL/NSDL and other applicable regulatory requirements, monitoring operational processes, identifying compliance gaps, and coordinating with internal teams for timely resolution.

Key Responsibilities

• Monitor day-to-day Back Office Operations to ensure compliance with applicable regulatory and internal policies.
• Ensure adherence to SEBI, NSE, BSE, CDSL, NSDL and other regulatory guidelines applicable to broking operations.
• Conduct periodic compliance checks and identify process gaps, exceptions and operational risks.
• Coordinate with Operations, Risk, Accounts, IT and other relevant teams for closure of compliance observations.
• Ensure timely preparation, review and submission of regulatory and compliance reports/returns.
• Assist in maintaining records and documentation required for internal audits, statutory audits, compliance reviews and regulatory inspections.
• Track regulatory circulars and updates issued by SEBI, exchanges and depositories and assess their impact on operational processes.
• Support implementation of new regulatory requirements and process changes.
• Monitor compliance with KYC, AML, client onboarding, UCC, demat and related regulatory requirements.
• Review exception reports and ensure timely resolution of discrepancies.
• Assist in responding to audit observations, exchange queries and regulatory requirements.
• Maintain proper compliance documentation, MIS and trackers for management review.
• Escalate material compliance breaches, operational irregularities and unresolved exceptions to the appropriate authority.
• Support development and improvement of SOPs, compliance checklists and control mechanisms.
• Perform any other compliance-related responsibilities assigned by management.

Key Skills & Competencies

• Strong knowledge of Stock Broking Back Office Operations and Capital Markets.
• Good understanding of SEBI, NSE, BSE, CDSL and NSDL regulations.
• Knowledge of trade life cycle, settlement process, margin, reconciliation and client account operations.
• Understanding of KYC/AML and regulatory compliance requirements.
• Strong analytical and problem-solving skills.
• Good knowledge of MS Excel and MIS reporting.
• Strong attention to detail and ability to identify discrepancies.
• Good communication and coordination skills.
• Ability to work within strict regulatory timelines.
• Strong documentation and audit-handling skills.

Educational Qualification

• Graduate/Postgraduate in Finance, Commerce, Business Administration or related discipline.
• Professional qualifications such as CS, CA, CMA, NISM certifications or relevant capital-market certifications will be an added advantage.

Preferred Experience

• 1–6 years of experience in Compliance, Back Office Operations, Stock Broking, Capital Markets, Depository or Financial Services.
• Candidates with hands-on experience in regulatory compliance and exchange/depository operations will be preferred.