Job description: Job Title: Compliance Executive
About the Company:
Join one of India’s most trusted and fastest-growing financial services organizations, with over 30 years of industry excellence. We are committed to maintaining the highest standards of compliance, ethics, and client trust.
Position Overview:
The Compliance Executive will be responsible for ensuring that the company’s operations align with all applicable regulatory, exchange, and internal compliance requirements. The role involves continuous monitoring, reporting, and coordination with management to uphold compliance standards across all functions.
Education & Qualifications:
- Post-Graduation in Commerce (M.Com) / LLB / MBA (Finance) / CS Executive (any group)
- Candidates with prior experience in a stock broking or financial services firm will be preferred
- Proficiency in Advanced Excel and MS Word is essential
- Good communication and analytical skills are a must
Key Responsibilities:
- Monitor and review operational processes to ensure full compliance with exchange regulations and ethical standards.
- Handle daily, weekly, and monthly data uploads, downloads, and submissions in Excel and other reporting formats.
- Actively track and monitor files to prevent non-compliance, damages, or penalties.
- Coordinate between department heads and senior management to ensure adherence to compliance frameworks.
- Conduct periodic assessments, inspections, and internal compliance checks.
- Assist in implementing new regulatory updates and compliance procedures.
Skills Required:
- Strong analytical and problem-solving abilities
- Excellent verbal and written communication skills
- High level of integrity, professionalism, and attention to detail
- Ability to work independently as well as collaboratively across teams
Certification Requirement:
- Must complete a compliance-related certification within 3 months of joining
- Education: Post-Graduation in Commerce (M.Com) / LLB / MBA (Finance) / CS Executive (any group)Pay: ₹25,000.00 - ₹35,000.00 per month Depend On interview your skill and Experience
Job Types: Full-time, Permanent
Recruiter Contact Number: +91 8140042333
Benefits:
Work Location: In person
Pay: ₹25,000.00 - ₹35,000.00 per month
Benefits:
Work Location: In person
