Compliance Executive

Key Responsibilities:

· Monitor and ensure compliance with relevant regulatory requirements, including SEBI guidelines and stock exchange regulations.

· Develop, implement, and maintain compliance policies and procedures.

· Conduct regular compliance audits and risk assessments to identify areas for improvement.

· Provide guidance and training to employees on compliance-related matters.

· Collaborate with internal departments to resolve compliance issues and implement corrective actions.

· Prepare and submit compliance reports to management and regulatory authorities as required.

· Stay updated on industry trends, regulatory changes, and best practices in compliance.

· Assist in managing compliance-related investigations and reporting findings to management.

· Support the development of a compliance culture within the organization.

· Preparation of documentation of AP registration cancellation and modification.

· Assist in preparation and Submission of Daily, Weekly, Monthly, Quarterly, half yearly and annual regulatory returns to exchange and other regulatory- NSE,BSE,MCX,SEBI,CDSL.

· Assist in Audits and Inspection and liaison with departments for data.

· Assist in preparation of various applications or documentation as per exchange rules regulation.

Qualifications:

· Bachelor’s degree in Finance, Business Administration, Law, or a related field.

· 2+ years of experience in compliance, risk management, or a related role within the financial services industry.

· Strong knowledge of regulatory requirements pertaining to stock brokerage and investment services.

· Excellent analytical and problem-solving skills.

· Strong attention to detail and ability to work independently.

· Effective communication and interpersonal skills.

· Proficiency in MS Office Suite and compliance management software.