Details of the Organization

Anand Rathi is a leading full-service investment bank founded in 1994 offering a wide range of financial services and wealth management solutions to institutions, corporations, high–net worth individuals and families. The firm has rapidly expanded its footprint to over 350 locations across India with an international presence in Dubai, Hong Kong & New York.

Details of the Job/Internship

Anand Rathi is hiring for the position of Compliance Officer with 3-5 years of experience to join their office in Mumbai. 

Role and Responsibilities

1. Regulatory Compliance:

• Ensure compliance with all applicable SEBI regulations, including SEBI (Stock Brokers) Regulations, PMLA, SEBI (Prohibition of Insider Trading), SEBI (LODR), and relevant NSE/BSE circulars.
• Monitor compliance related to algorithmic trading, co-location services, institutional client onboarding (KYC/AML), and execution of trades.
• Track regulatory developments and implement required changes to internal processes and policies.

2. Trade Surveillance & Monitoring:

• Oversee surveillance of institutional equity trades to detect and prevent market abuse, front-running, insider trading, and circular trading.
• Utilize exchange-provided alerts and surveillance tools; investigate anomalies in coordination with risk and surveillance teams.
• Escalate findings and file Suspicious Transaction Reports (STRs) where necessary.

3. Compliance Oversight:

• Act as the primary compliance point of contact for the institutional equities desk (sales & trading).
• Provide regulatory interpretation and guidance on FPI limits, AIF participation, DDP guidelines, and other institutional investor norms.
• Conduct periodic sample testing and trade reviews to ensure procedural compliance.
• Maintain accurate documentation of monitoring activities, exceptions, and corrective actions.

4. Training & Awareness:

• Deliver periodic training sessions to the institutional equities team on relevant regulatory frameworks and internal policies.
• Reinforce understanding of SEBI’s code of conduct, including insider trading norms.

5. Internal and External Coordination:

• Support internal audits and regulatory inspections conducted by SEBI, NSE, and BSE.
• Collaborate with legal, risk, KYC, and surveillance teams to ensure end-to-end compliance coverage and regulatory readiness.

Eligibility

Education:

• Graduate or Postgraduate in Law, Finance, Commerce, or related fields.
• Preferred certifications: NISM Series IIIA (Compliance Officers) and NISM Series VII (Securities Operations & Risk Management).

Experience:

• 3–5 years of relevant experience in compliance roles within institutional equities, broking, or investment banking.
• Hands-on experience in dealing with regulatory bodies (SEBI, NSE, BSE) and familiarity with institutional investor categories (FPIs, Mutual Funds, AIFs, PMS).

Skills & Competencies:

• Deep knowledge of SEBI regulations, institutional trading practices, and market infrastructure.
• High attention to detail, strong analytical skills, and a commitment to integrity.
• Strong interpersonal and communication skills, with the ability to engage confidently with internal teams and external regulators.
• Proficiency in MS Office tools and familiarity with trading and surveillance systems.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

Address

Mumbai, Maharashtra, India.

Application and Registration Details

After you submit your application, you will receive the next steps in the process via email. Please follow the instructions provided to complete your application.

Incase you find any issue with the application process, please contact: [email protected] 

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