Compliance Governance Specialist

3 days ago


Varanasi, Uttar Pradesh, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 15,00,000
Compliance Executive Role

We are seeking an experienced Compliance Professional to oversee regulatory compliance in our organization. The ideal candidate will have a minimum of 1.5 years of experience in financial services and a strong understanding of industry regulations.

Key Responsibilities:
  • Disseminate relevant circulars and notifications issued by regulators on a daily basis to respective departments.
  • Track actionable items and maintain Management Information Systems for implementation and adherence of said circulars.
  • Settle client balances and have knowledge of fund and securities documentation.
  • Prepare documentation for Account Placement registration and cancellation, and be aware of AP-related compliances.
  • Provide electronic trading platform support and maintain MIS for the same.
  • Submit weekly, monthly, quarterly, half-yearly, and annual regulatory returns to exchanges.
  • Coordinate with exchanges, clients, and departments for compliance-related issues.
  • Maintain recording data of client transactions.
  • Prepare various applications and documentation as per exchange rules and regulations.
Requirements:
  • Minimum 1.5 years of experience in financial services.
  • Strong understanding of industry regulations.
  • Ability to work independently and as part of a team.


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