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 Share and Stock Brokers Ltd is hiring for the position of Institutional Equities – Compliance Manager with 5-8 years of experience to join their office in Mumbai. 

Role and Responsibilities

• 1. Regulatory Compliance
• Ensure adherence to SEBI (Stock Brokers) Regulations, PMLA, Insider Trading Regulations, LODR, and all SEBI/NSE/BSE circulars.
• Monitor compliance with rules on algorithmic trading, co-location, KYC/AML, and institutional trade execution.
• Track regulatory changes and implement necessary updates to internal processes.
• 2. Trade Surveillance & Monitoring
• Monitor institutional trades to identify potential market abuse, insider trading, front-running, or circular trading.
• Use exchange surveillance tools (NSE/BSE alerts) to detect anomalies.
• Collaborate with surveillance and risk teams to investigate patterns and file Suspicious Transaction Reports (STRs) when required.
• 3. Compliance Monitoring
• Act as the first point of contact for the institutional equities desk (sales & trading) on compliance queries.
• Provide regulatory guidance on FPI limits, AIF restrictions, and DDP rules.
• Conduct sample testing, periodic reviews, and ensure proper documentation of exceptions and corrective actions.
• 4. Training & Awareness
• Deliver regular compliance training for equity desk staff.
• Enhance awareness of SEBI’s insider trading norms and internal code of conduct.
• 5. Internal & External Coordination
• Support internal audits, SEBI/NSE/BSE inspections, and compliance reviews.
• Collaborate with Legal, Risk, KYC, and Surveillance teams to manage regulatory expectations and strengthen governance.

Eligibility

• Education
• Graduate/Postgraduate in Law, Finance, or Commerce.
• NISM certifications such as Series IIIA (Compliance Officer Module) or Series VII (Securities Operations & Risk Management) preferred.
• Experience
• 5–8 years of relevant experience in Institutional Equities, Broking, or Investment Banking Compliance.
• Strong exposure to SEBI, NSE, BSE processes with knowledge of institutional investors (FPIs, Mutual Funds, AIFs, PMS).
• Skills & Competencies
• Strong grasp of SEBI regulations, equity markets, and institutional trading norms.
• High integrity, analytical mindset, and attention to detail.
• Excellent communication skills to interact with trading desks, regulators, and senior management.
• Proficiency in MS Excel, Word, and familiarity with trading/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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