Gretex Share Broking Limited
Website:
gretexbroking.com
Job details:
Role- GSBL- Compliance Officer
Role Definition
The Compliance Officer will be responsible for ensuring adherence to regulatory requirements across exchanges (BSE/NSE), depositories (NSDL), and SEBI. The role involves managing regulatory reporting, monitoring compliance frameworks, handling audits, and ensuring timely resolution of investor complaints and surveillance alerts.
Responsibility Deliverable
- Regulatory Reporting & Exchange Compliance
- Investor Grievances & SCORES Management
- Surveillance, Alerts & Risk Monitoring
- Audits, Certifications & Regulatory Filings
- Compliance Governance, Circulars & Coordination
Tasks & Activities
1. Regulatory Reporting & Exchange Compliance- Manage timely submission of reports to BSE, NSE, NSDL, and other regulatory bodies (e.g. client mapping to AP, MTF declaration, surveillance obligations, SAAS reporting).
- Upload and report Suspicious Transaction Reports (STR), Non-Profit Transaction Reports (NTR), and other mandatory filings or NIL reports.
- Ensure submission of compliance certificates to exchanges and NSDL confirming adherence to regulatory guidelines.
- Handle cyber incident reporting and ensure timely disclosures to regulators.
2. Investor Grievances & SCORES Management- Monitor and resolve investor complaints through SEBI SCORES and exchange platforms.
- Ensure timely reporting and closure of complaints with NSE, BSE, and NSDL.
- Maintain proper records and ensure minimal escalations and regulatory observations.
3. Surveillance, Alerts & Risk Monitoring- Review and respond to exchange-generated alerts within defined timelines.
- Conduct internal surveillance and report alerts (or NIL reports) to exchanges on a monthly basis.
- Monitor suspicious transactions and ensure proper escalation and reporting.
- Support implementation of risk and compliance controls across operations.
4. Audits, Certifications & Regulatory Filings- Coordinate internal, system, cyber, and VAPT audits including appointment of auditors and submission of reports.
- Prepare and submit periodic filings such as Networth Certificates (half-yearly & annual), Financial Statements, Annual Returns, RBS (Risk-Based Supervision), and RAT (Risk Assessment Template).
- Helping Institutional team in preparing and submitting information required by entities for empanelment purposes
- Ensure tracking and submission of NISM certifications and other regulatory documentation.
- Collate data across departments and ensure accurate and timely audit/report submissions.
5. Compliance Governance, Circulars & Coordination- Review circulars issued by SEBI, exchanges, and depositories; communicate and ensure implementation across departments.
- Conduct inspections of Authorized Persons (APs) and report findings to exchanges.
- Handle regulatory approvals and documentation for structural changes (e.g., director changes, shareholding pattern updates).
- Coordinate with internal teams to ensure compliance adherence and process alignment across functions.
Education
Graduate/Postgraduate in Commerce, Finance, Law, or related field (LLB/MBA preferred).
Experience
5–8 years of experience in compliance within broking/capital markets.
Certification
· NISM certifications (relevant modules as per SEBI requirements)
· Any certification in Compliance, Risk Management, or Financial Regulations
Stipend/ CTC Range
As per industry standards
Application Process
Interested candidates may apply through the link below
https://shorturl.at/W62uc
Email- hr@gretexgroup.com (Subject- Compliance Officer- GSBL)
Click on Apply to know more.
