StockHolding Services Limited

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Prevent Unauthorized Transactions in your demat account --> Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL on the same day issued in the interest of investors. | KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary. | No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account. | Attention Investors : "Prevent Unauthorised transactions in your account --> Update your mobile numbers/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the end of the day Issued in the interest of investors" Also "Please provide your email id and mobile number or declaration for Non-availability for continuous trading. Kindly refer the NSE circular number NSE/INSP/32471 dated 31/05/2016."

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Careers

Compliance Officer

Department : IT and Auto

Qualification : First Class Graduate in Commerce, Finance, Law, or related field.

Experience : 3–18 Years

Roles and Responsibilities

Job Summary:
The Compliance Officer will be responsible for ensuring that the stockbroking entity complies with all applicable SEBI regulations, exchange (NSE/BSE) rules, and other statutory requirements. The role involves monitoring trading activities, managing regulatory reporting, and ensuring adherence to internal controls and risk management practices.
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Key Responsibilities:
•	Ensure compliance with SEBI regulations, Stock Exchange (NSE/BSE) circulars, and Depository (NSDL/CDSL) guidelines. 
•	Monitor trading activities to detect suspicious transactions, market manipulation, insider trading, and front-running. 
•	Handle exchange inspections, SEBI audits, and internal audits; ensure timely closure of observations. 
•	Submit periodic reports/returns to SEBI, NSE, BSE, and Depositories within deadlines. 
•	Oversee KYC/AML compliance in line with PMLA guidelines. 
•	Implement and monitor Internal Controls & Risk Management Systems. 
•	Maintain and update compliance manuals, SOPs, and policies. 
•	Address investor complaints and coordinate with SCORES platform (SEBI). 
•	Conduct compliance training and awareness programs for employees and authorized persons. 
•	Track regulatory updates and ensure timely implementation across the organization. 
•	Liaise with regulators, auditors, and internal stakeholders. 
•	Ensure compliance with margin reporting, client fund segregation, and collateral management norms. 
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Qualifications & Skills:
•	First Class Graduate in Commerce, Finance, Law, or related field. 
•	NISM Certifications (mandatory/preferred): 
o	NISM Series III-A (Securities Intermediaries Compliance) 
o	NISM Series VII (Securities Operations & Risk Management) 
•	Strong understanding of SEBI regulations, exchange bye-laws, and circulars. 
•	Knowledge of trading systems, back-office operations, and risk frameworks. 
•	Proficiency in MS Excel and compliance/reporting tools. 
•	Strong analytical, communication, and documentation skills.

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