Compliance Manager (institution broking)

Intellectual Capital HR Consulting Pvt. Ltd. • mumbai, maharashtra • Posted July 23, 2026

Position Overview

Responsibilities



  • Hands on experience of Research Regulation and instituion broking
  • Prior experience of SEBI/SEs’ inspection
  • Independently handle SEBI/SE queries relating Research and Broking business (transaction related)
  • Updating business team on regulatory circulars and implementing the same
  • Monitoring NISM certification for Research Team
  • Coordinating with Regulators on periodic submissions and reporting
  • Monitoring Insider Trading compliances
  • Handling Investor grievances
  • Review of Agreements