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Equirus – Company Secretary – Broking Compliance

Category: Product ID: 4588


About the job

This job is sourced from a job board. 

Urgent opening for CS & compliance

  • Broking compliance @ EquirusJob description :- Ensuring compliance of SEBI (Stockbrokers) Regulations, 1992 and all other applicable circulars, notifications issued by SEBI, NSE, BSE, CDSL time to time.- Timely filing of various details with SEBI, NSE, BSE, CDSL, ROC and other regulators.
  • Updation & Implementation of various policies like AML policy, RMS policy, Conflict of Interest policy, policy regarding circulation of unauthenticated news etc.- Onboarding of broking/DP clients with due diligence and to comply with the KYC norms.- Co-ordination with institutional clients w.r.t empanelment and review of empanelment on half yearly/yearly basis.- Implementation of all the compliance w.r.t KYC and other regulatory filings with various authorities.- Implementation of compliance w.r.t SEBI (Research Analysts) Regulations, 2014, SEBI (Depositories and Participants) Regulations, 2018 SEBI (Prohibition of Insider Trading) Regulations, 2015.- Preparation and maintenance of secretarial documents like notice, agenda, minutes, registers etc.- Drafting, Vetting, negotiating & executing various commercial/ business contracts and agreements
  • Handling NSE/BSE/CDSL inspections.Requirement Specification :- Graduate + CA / CS / MBA, or any other equivalent qualification
  • Must have Broking Compliance experience- Minimum 4-5 years of work experience with Stock Broking & DP entity
  • NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program (

Desired Skills and Experience

Regulatory Compliance,CS,CA,Compliance