Head - Compliance - Stock Broking House - CS

Role : Head - Compliance

Location: Mumbai

Reporting To: Promoter

Qualification: CS Mandatory

About the Organization:

A leading, Mumbai-based stock broking house with a strong legacy in India's capital markets ecosystem. The firm services a diversified client base including retail investors, HNIs, and institutional participants across capital market segments.

Role Summary:

- The Head - Compliance will lead the overall compliance framework of the organization, ensuring adherence to SEBI and other regulatory requirements. The role will work closely with the Promoter and senior leadership to strengthen governance standards, manage regulatory relationships, and drive a strong compliance culture across the business.

- Lead the end-to-end Compliance function across all capital market segments.

- Ensure adherence to SEBI, Exchanges, Depositories, and other applicable regulatory frameworks.

- Act as the primary liaison with regulators, exchanges, and auditors.

- Strengthen internal controls, surveillance mechanisms, and governance standards.

- Advise the Promoter and senior leadership on regulatory risks and strategic compliance matters.

- Drive a strong compliance culture across business and operational teams.