Asian Markets Securities - Compliance Officer - Stock Broking & Capital Markets

ABOUT US :

We are a SEBI-registered stock broking firm with memberships in the Equity Cash and Equity Derivatives segments of NSE & BSE. We are looking for an experienced Compliance Officer to lead the firm's regulatory compliance function and ensure adherence to SEBI, Exchange, Depository, AML, and related regulatory requirements.

SCOPE OF OPERATIONS :

HRB Group of companies include Asian Markets Securities (Institutional Broking wing), Vikabh Securities (proprietary Trading wing) , Rubix Wealth Advisors (Wealth management wing).

KEY RESPONSIBILITIES :

- Manage end-to-end compliance with SEBI regulations, NSE/BSE circulars, clearing corporation requirements, and depository regulations.

- Ensure timely submission of all regulatory filings, reports, disclosures, and certifications.

- Act as the primary point of contact for SEBI, Exchanges, Depositories, auditors, and regulatory inspections.

- Monitor regulatory developments and implement necessary changes in policies, processes, and controls.

- Oversee AML, KYC, investor grievance, surveillance, and risk-management related compliance requirements.

- Coordinate internal, concurrent, system, and regulatory audits and ensure timely closure of observations.

- Maintain compliance manuals, SOPs, regulatory records, and governance frameworks.

- Advise management on regulatory implications of new products, business initiatives, and operational changes.

- Support compliance requirements relating to Category III AIFs, including regulatory filings, investor reporting, and regulatory liaison (preferred).

CANDIDATE PROFILE:

- 5-12 years of relevant experience in stock broking, capital markets, PMS, wealth management, or AIF businesses.

- Strong working knowledge of SEBI regulations, NSE/BSE compliance framework, Depository regulations, AML/KYC requirements, and investor protection guidelines.

- Experience in handling exchange inspections, regulatory audits, and interactions with regulators.

- Experience with Category III AIF compliance will be a significant advantage.

- Professional qualifications such as CS, CA, LLB, CFA, MBA (Finance), or equivalent preferred.

PREFERRED ATTRIBUTES :

- Prior experience as Compliance Officer or Designated Compliance Officer of a broking entity.

- Ability to independently manage regulatory relationships and compliance functions.

- Strong attention to detail, documentation, and communication skills.