Compliance Officer (Broking) Jobs in Chennai Stock Broking Company
⚡ Hiring Now🏫 Chennai Stock Broking Company Employment Zones
Chennai's private stock broking firms provide equity trading, mutual fund distribution, and wealth management services from offices in Guindy and Ambattur MIDC, employing Tamil-speaking equity research analysts, sub-brokers, and wealth managers.
Stock Broking Company employment zones in Chennai include Guindy, Ambattur MIDC, Sholinganallur, Anna Nagar, Nungambakkam, T. Nagar, Adyar, Velachery, Taramani, and Perungudi.
📋 Job Description
Jobzi is sourcing qualified candidates for Compliance Officer (Broking) positions in Chennai's private Stock Broking Company sector. This is a full-time opportunity with a reputed Stock Broking and Capital Markets employer in Chennai offering competitive salary, structured growth, and a professional work environment. Tamil communication skills are preferred alongside English for professional and business interaction in Chennai.
📌 Key Responsibilities
- Ensure compliance with SEBI regulations, exchange circulars, and PMLA guidelines applicable to broking operations
- Prepare and submit periodic regulatory filings to NSE, BSE, SEBI, and depository participants
- Conduct internal audits of dealing, back office, and client onboarding processes
- Monitor SEBI and exchange circulars and update operational procedures accordingly
- Handle exchange inspection and SEBI audit queries and documentation preparation
- Maintain compliance registers, KYC records, and PMLA transaction monitoring reports
- Coordinate with senior management on regulatory risk assessment and compliance calendar
🎓 Qualifications and Requirements
- LLB or MBA Finance with specialisation in regulatory compliance or securities law
- Minimum one year of compliance experience in a SEBI-registered broking entity
- Knowledge of SEBI (Stock Brokers) Regulations, PMLA, and exchange bye-laws
- Familiarity with SEBI inspection process and exchange surveillance mechanisms
- Strong analytical and documentation skills for regulatory reporting and audit responses
- Proficiency in MS Office and compliance MIS reporting tools
- Attention to detail and ability to manage multiple regulatory deadlines simultaneously
- Good Tamil and English communication skills for team coordination and client interaction in Chennai.
✅ Required Skills
🏆 Certifications and Qualifications
NISM Series VII (Securities Operations and Risk Management) for operations roles; NISM Series VIII (Equity Derivatives) for derivatives dealer and risk roles; NISM Series X-A and X-B (Investment Adviser) for advisory and relationship manager roles; NISM Series XV (Research Analyst) for equity research roles; NISM Series V-A (Mutual Fund Distributor) for cross-sell roles; NCFM (NSE Certified Financial Market) modules; SEBI KYC Registration Agency (KRA) compliance awareness; CFP (Certified Financial Planner) for wealth management roles
Frequently Asked Questions
What types of jobs are available in Chennai stock broking companies?
Chennai's private stock broking sector offers roles across operations, client services, research, technology, compliance, and management. Entry-level candidates can apply for back office, KYC, and DP operations positions. Experienced professionals find opportunities as equity dealers, relationship managers, research analysts, compliance officers, algo developers, and branch managers. NISM certifications are commonly required and improve hiring prospects across most roles in private broking firms across the city.
Do I need NISM certification to work in a stock broking company in Chennai?
Most roles in Chennai's private stock broking industry require at least one NISM certification. Operations roles need NISM Series VII, dealers need NISM Series VIII for derivatives, research analysts need NISM Series XV, and relationship managers need NISM Series X-A for investment advice. Some support and administrative roles may not mandate certification at entry level, but obtaining relevant NISM modules significantly increases hiring chances and salary prospects in Chennai broking firms.
What is the career growth path in a Chennai stock broking company?
A typical career path in Chennai's private stock broking sector begins with back office or KYC executive roles, progressing to dealing, research, or client relationship positions within two to three years. Mid-level professionals move into compliance, risk management, or sales management roles. Senior professionals advance to branch manager, equity sales manager, or research head positions. C-suite roles such as CEO or MD require extensive regulatory knowledge and demonstrated business leadership within SEBI-registered broking entities.
What does a Compliance Officer do in a Chennai stock broking company?
A Compliance Officer in a Chennai private stock broking firm ensures adherence to SEBI regulations, exchange bye-laws, PMLA guidelines, and KYC norms applicable to broking operations. They prepare regulatory filings for NSE, BSE, and SEBI, conduct internal audits, respond to exchange inspection queries, monitor SEBI circulars, and maintain compliance records. LLB or MBA Finance with prior broking compliance experience is the typical hiring profile. This is a critical regulatory role in all SEBI-registered Chennai broking entities.
What qualifications are required for a Compliance Officer job in Chennai broking?
Compliance Officer roles in Chennai's private stock broking companies require an LLB or MBA Finance degree with at least one year of direct compliance experience in a SEBI-registered broking entity. Knowledge of SEBI (Stock Brokers) Regulations, PMLA, exchange bye-laws, and depository regulations is essential. Strong documentation and analytical skills are important for regulatory filing and audit response functions. Candidates with experience in SEBI inspections or exchange surveillance processes are particularly valued in Chennai broking compliance roles.
What is the salary for a Compliance Officer in a Chennai broking firm?
Compliance Officers in Chennai's private stock broking companies earn between Rs.28,000 and Rs.68,000 per month depending on experience, regulatory knowledge, and employer size. Senior compliance officers with SEBI inspection experience or PMLA specialist skills command higher salaries. Compliance is a high-demand function in Chennai's growing broking sector, and professionals with strong regulatory expertise often receive faster salary progression and broader career opportunities within the financial services industry.
What is the salary for Compliance Officer (Broking) in Chennai Stock Broking Company in
A Compliance Officer (Broking) in Chennai earns between Rs.30,000 and Rs.70,000 per month in July 2026, depending on experience, skills, and employer.
What experience is required for Compliance Officer (Broking) jobs in
1 - 5 Years of relevant experience is typically required for Compliance Officer (Broking) positions in Chennai's private Stock Broking Company sector.
வேலை விவரம் - தமிழில்
Chennai-ல் Compliance Officer (Broking) வேலைவாய்ப்பு. மாத சம்பளம் ரூ.30,000 முதல் ரூ.70,000 வரை. 1 - 5 Years અனுபவம் தேவை. Stock Broking Company-ல் Full Time பணி. ஆர்வமுள்ளவர்கள் Jobzi மூலம் விண்ணப்பிக்கலாம்.