Job Description
Experience: 5-12 years in Retail Trading / Broking, Risk & Compliance
Preferred Market Context: Indian Capital Markets (SEBI/NSE/BSE/MCX/CDSL/NSDL)
Notice Period: Immediate to 45 days preferred
Employment Type: Full-time
1. Role Overview
We are looking for an experienced Risk and Compliance- SME, specializing in Risk, Compliance, and Regulatory Operations within the Retail Trading & Broking domain. The candidate must have strong hands-on exposure to Indian capital markets regulations, SEBI guidelines, surveillance requirements, and compliance-driven operational processes.
2. Key Responsibilities
A. Risk and Compliance Readiness
- Lead readiness for SEBI/exchange circulars, regulatory changes, and compliance-driven system enhancements.
- Analyse regulatory requirements and propose operational, system, and process adjustments.
- Develop compliance readiness plans including ...
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