Job Role: Compliance Executive
Industry: Stock Market / Stock Broking / Financial Services
Key Responsibilities:
- Ensure compliance with SEBI, NSE, BSE, MCX, CDSL, NSDL and other applicable regulatory requirements.
- Monitor and implement SEBI and Exchange circulars, rules and guidelines.
- Maintain and update compliance records, registers, reports and documentation.
- Assist in daily compliance checks of trading and operational activities.
- Monitor client-related compliance, including KYC, AML, PMLA and client documentation.
- Coordinate with RMS, Operations, Trading, Accounts and Dealing departments for compliance-related matters.
- Check compliance of client onboarding, account opening, trading limits and transactions.
- Prepare and submit periodic regulatory reports and returns to exchanges and regulators within prescribed timelines.
- Monitor trade surveillance and suspicious/unusual transactions and escalate issues to the Compliance Officer.
- Assist in handling exchange queries, inspections, audits and regulatory notices.
- Maintain records of complaints and grievance resolution.
- Ensure proper compliance with investor protection and client fund/securities-related requirements.
- Conduct internal compliance reviews and identify areas of non-compliance.
- Follow up with concerned departments for rectification and closure of compliance observations.
- Maintain confidentiality of client and company information.
Required Skills:
- Knowledge of Stock Market, Equity, Derivatives, Commodity and Capital Market operations.
- Basic understanding of SEBI and Stock Exchange regulations.
- Good knowledge of MS Excel and documentation.
- Strong analytical and communication skills.
- Attention to detail and ability to work within regulatory deadlines.
- Experience with stock broking compliance/RMS/operations will be preferred.
Qualification: Graduate in Commerce, Finance, Law, Management or related field.
Experience: 1–5 years in stock broking, capital market or financial services compliance preferred.
Pay: ₹22,000.00 - ₹30,000.00 per month
Benefits:
Work Location: In person
