Compliance Manager - Stock Broking & Capital Markets

A leading capital markets / stock broking platform is hiring a Compliance Manager to own end-to-end regulatory compliance across retail and institutional operations. The role involves direct responsibility for exchange and depository compliance, client onboarding controls, RMS oversight, and audit management. This is a hands-on role requiring independent ownership of regulatory reporting, inspections, and internal control frameworks across NSE, BSE, and depositories.

Key Responsibilities:

- Own end-to-end compliance across SEBI, NSE, BSE, MCX, MSEI, NSDL and CDSL

- Manage regulatory filings, disclosures, and exchange/depository reporting

- Lead client onboarding compliance including KYC, AML, CKYC, UBO checks

- Oversee DP operations, client asset segregation, and grievance handling

- Handle audits, inspections, and regulatory queries independently

- Drive compliance integration across trading, risk, operations, and technology

Ideal Candidate Profile:

- 7+ years of experience in stock broking or depository compliance

- Strong exposure to both retail client compliance and institutional / prop desk compliance

- Deep understanding of SEBI regulations, KYC/AML norms, and DP operations

- Experience working with NSE / BSE / MCX / MSEI (minimum two exchanges)

- Proven track record of independently managing audits and inspections

- Willingness to relocate / work from GIFT City (mandatory)