Details of the Organization

They are a SEBI-registered Research Analyst dedicated to providing accurate, honest, and insightful research in the Indian financial markets. Their mission is to help everyday investors build wealth with clarity and confidence.

Details of the Job/Internship

Booming Bulls Finserv is hiring a Compliance Specialist to join their office remotely.

Role and Responsibilities

1. Regulatory Compliance

• Ensure end-to-end compliance with all applicable SEBI, BSE, NSE regulations, and other financial market laws.
• Monitor regulatory developments and update internal policies accordingly.
• Provide interpretation and guidance on new laws and amendments to internal teams.

2. Trading Compliance

• Monitor trading activities, systems, and transactions for adherence to compliance requirements.
• Detect and prevent non-compliant behaviors such as market manipulation and insider trading.
• Report suspicious or irregular trading activities to appropriate regulatory bodies.

3. Policy Development & Training

• Develop and maintain internal compliance policies and SOPs aligned with regulatory expectations.
• Conduct training programs to raise awareness on compliance standards and regulatory updates.

4. Reporting & Documentation

• Prepare and submit periodic compliance reports to SEBI, BSE, NSE, and other relevant authorities.
• Maintain comprehensive documentation for audits, inspections, and internal review.
• Coordinate with external auditors and regulatory authorities during audits.

5. Risk Management

• Identify potential compliance risks and propose mitigation strategies.
• Work cross-functionally to address compliance gaps in trading, securities, and corporate governance.

6. Internal Audits & Investigations

• Conduct internal audits and compliance reviews on a regular basis.
• Investigate alleged breaches and recommend corrective actions where required.

7. Regulatory Liaison & Senior Stakeholder Management

• Serve as the primary point of contact for SEBI, BSE, NSE, and other regulatory bodies.
• Collaborate with senior leadership to align business practices with compliance requirements.

Eligibility

• Bachelor’s or Master’s degree in Law, Finance, or a related discipline.
• Qualified Company Secretary (CS) preferred.
• Proven experience (preferably several years) in a compliance function within the Indian financial markets.
• Strong understanding of SEBI, BSE, NSE, and trading-related compliance frameworks.
• Up-to-date knowledge of Indian securities laws, trading mechanisms, and market surveillance practices.
• Excellent communication, analytical, and stakeholder management skills.

Salary/Stipend

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

Type of Opportunity

Fulltime

Country

India

Address

Remote

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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