Compliance Officer

Company Description Kernel Technology Limited, established in 1997 in Bengaluru, is a pioneering core technology company specializing in web-based IT solutions. With deep expertise in the information technology domain, the company serves diverse industries by delivering innovative IT landscape and e-commerce services. At its core, Kernel Technology Limited is driven by a commitment to meeting complex industry needs through tailored, cutting-edge solutions. Role Description We are looking for an experienced and detail-oriented Compliance Professional with strong knowledge of stock market operations, exchange regulations, and capital market compliance. The ideal candidate should have hands-on experience in managing compliance activities related to National Stock Exchange of India (NSE), BSE Limited (BSE), and Securities and Exchange Board of India (SEBI) regulations. The candidate will be responsible for ensuring regulatory compliance, managing exchange-related reporting, handling audits, monitoring trading operations, and supporting risk & compliance functions within the organization. Key Responsibilities Exchange & Regulatory Compliance Ensure compliance with NSE, BSE, SEBI, and other regulatory guidelines applicable to stock broking operations. Handle exchange-related submissions, filings, and reporting within prescribed timelines. Monitor daily compliance activities related to trading operations and client transactions. Track and implement new SEBI circulars, exchange notifications, and regulatory updates. Trading & Operations Monitoring Monitor trading activities and ensure adherence to exchange rules and internal compliance policies. Coordinate with RMS (Risk Management System) teams for margin monitoring and risk controls. Review client onboarding, KYC, AML, and account opening documentation. Ensure compliance in equity, derivatives, and other market segments. Audit & Risk Management Coordinate and support internal audits, exchange audits, and regulatory inspections. Prepare audit reports, compliance MIS, and regulatory documentation. Identify compliance gaps and recommend corrective actions. Maintain proper documentation and records for regulatory purposes. Client & Operational Compliance Handle investor complaints and exchange-related queries. Ensure adherence to PMLA, AML, and KYC norms. Coordinate with internal departments including Operations, Finance, and Trading teams for compliance closure. Required Skills & Competencies Strong understanding of NSE, BSE, and SEBI regulations Knowledge of stock broking operations and capital markets Hands-on experience in exchange compliance and reporting Understanding of trading lifecycle and settlement process Good knowledge of KYC, AML, and PMLA guidelines Familiarity with RMS and surveillance activities Strong analytical and documentation skills Excellent communication and stakeholder management skills Ability to work independently and manage regulatory timelines Familiarity with AI tools for productivity, documentation, and regulatory analysis is a plus” Preferred Qualifications Bachelor’s Degree in Commerce, Finance, Business Administration, or related field MBA Finance / CA Inter preferred NISM / NCFM certifications will be an added advantage Preferred Certifications: NISM Compliance Certification NISM Equity Derivatives NCFM Capital Market Certifications Experience Required Minimum 5 years of relevant experience in: Stock Broking Capital Markets Trading Operations Exchange Compliance Financial Services Position: Compliance Officer Location: Bengaluru, Karnataka Experience: 5+ Years Industry: Stock Broking / Capital Markets / Financial Services