Compliance Executive

About the CompanyWe are a SEBI-registered stock broking firm building a lean, cloud-native platform to serve lakhs of clients with a fraction of the headcount of traditional brokers. Our operations run on a centralised Ticket & Operations Management System (TMS), and every team is held to strict SLA governance. We hire for intelligence, curiosity, and the ability to turn regulatory complexity into clean operational systems.About the RoleThis is a high-ownership compliance role — not a box-ticking job. You will work directly with the Chief Compliance Officer, respond to SEBI and exchange queries, manage KYC exception workflows, and own our SEBI SCORES resolution pipeline. If you get excited reading SEBI circulars and instinctively think in process maps and exception logs, this role is for you.Key Responsibilities•  Monitor, interpret, and operationalise SEBI, NSE, BSE, and MCX circulars — draft internal action memos for each relevant update•  Own the SEBI SCORES portal — ensure all client grievance responses are filed within statutory deadlines•  Manage KYC exception review workflows within the internal TMS — route, track, and close P2-level compliance tickets•  Prepare and submit audit documents for exchange inspections; act as primary liaison with inspection officers•  Maintain KYC/AML records, conduct periodic client risk reviews, and flag anomalies to the CCO•  Support preparation of regulatory returns, STRs, and compliance certificates across NSE, BSE, and MCX•  Draft and maintain internal compliance SOPs, process documentation, and inspection checklists•  Coordinate with the Technology team to embed compliance rules into RMS and trading systemsMust-Have Requirements•  CS (Intermediate or Final) OR LLB with capital markets / corporate law specialisation•  NISM Series VIII (Equity Derivatives) OR NISM Series X-A / X-B — cleared, not just enrolled•  Working knowledge of SEBI SCORES, exchange inspection processes, and KYC/AML frameworks•  Ability to independently read a SEBI circular and extract actionable compliance tasks•  Strong written communication — you will draft official responses to regulatory bodiesGood to Have•  Articleship or internship at a CA firm handling stock broker audits•  Hands-on exposure to SEBI SCORES portal or NSE/BSE compliance portals•  Familiarity with PMLA obligations for SEBI-registered intermediaries•  Self-initiated NISM certifications beyond the mandatory requirementWhat We're Really Looking ForBeyond the qualifications, we hire for mindset. The ideal candidate:•  Follows SEBI circulars and exchange notifications independently — not because their employer asks•  Has built a checklist, tracker, or process map at any point in their career without being prompted•  Can explain why SEBI mandates T+1 payouts in plain, jargon-free English — regulatory fluency means simplifying, not complicating•  Has read at least one SEBI consultation paper and has a genuine point of view on itWhat You'll Get•  Direct reporting to the Chief Compliance Officer — steep learning curve from Day 1•  Ownership of a live regulatory function at a growing, tech-first brokerage•  Exposure to SEBI, NSE, BSE, and MCX compliance across all asset classes•  Competitive compensation benchmarked to market; performance-linked growth

Apply Now