Compliance Officer Jobs in Coimbatore Stock Broking Company

📋 Job Description

Jobzi is sourcing qualified candidates for Compliance Officer positions in Coimbatore's private Stock Broking Company sector. This is a full-time opportunity with a reputed Stock Broking and Capital Markets employer in Coimbatore offering competitive salary, structured growth, and a professional work environment. Tamil communication skills are preferred alongside English for professional and business interaction in Coimbatore.

📌 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 Coimbatore.

✅ 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