Compliance Lead - Capital Markets - CS

Position: Compliance Lead - Capital Markets.

Company Secretary (CS) is mandatory.

About the role.

We're looking for a seasoned Compliance & Surveillance professional to lead transaction monitoring, surveillance systems and regulatory liaison for the client's trading and broking operations.

This is a hands-on role owning AML/PMLA processes, DSP/Algo approvals, exchange filings and surveillance reporting to senior management.

Key Responsibilities:.

- Monitor daily trading activities and close surveillance alerts.

- Handle AML, PMLA, FIU, and insider trading compliance.

- Manage SEBI/NSE/BSE regulatory submissions.

- Work on algo trading compliance, DMA approvals, and membership documentation.

- Update and implement SEBI circulars and exchange guidelines.

- Prepare compliance reports, audits, and MIS.

- Work with surveillance systems and Power BI dashboards.

- Coordinate effectively with regulators and internal stakeholders.

Must-Have Skills:

- Capital Market Compliance experience.

- SEBI/NSE/BSE regulatory knowledge.

- Trading Surveillance & AML/PMLA.

- Algo trading compliance.

- Power BI.

- Strong documentation & communication skills.