Job Description – Compliance Executive
Company: TG Levels Private Limited
Position: Compliance Executive
Experience: 1–2 Years
Employment Type: Full-Time
HR Name: Pooja Kamble / 8010489010
About the Role
We are looking for a Compliance Executive to ensure regulatory compliance with SEBI guidelines and support compliance operations in our SEBI Registered Research Analyst organization.
Key Responsibilities
- Ensure compliance with SEBI (Research Analyst) Regulations.
- Monitor regulatory updates and maintain compliance records.
- Handle regulatory filings, documentation, KYC, and client records.
- Review research reports, marketing content, and client communications for compliance.
- Support internal audits, SEBI inspections, and compliance reporting.
- Coordinate with management, auditors, and regulatory consultants.
Eligibility
- Bachelor's degree in Commerce, Finance, Law, Business Administration, or a related field.
- 1–2 years of experience in Compliance, Legal, or Financial Services.
- NISM-Series-XV (Research Analyst) Certification – Mandatory.
- NISM-Series-III-A certification will be an added advantage.
Required Skills
- Knowledge of SEBI regulations and Research Analyst compliance.
- Strong documentation and MS Office skills.
- Good communication, organizational, and analytical skills.
- Experience in a SEBI Registered Research Analyst, Investment Advisory, or Financial Services company is preferred.
Pay: ₹25,000.00 - ₹32,000.00 per month
Location:
- Ghansoli, Navi Mumbai, Maharashtra (Preferred)
Work Location: In person
