Compliance Associate

3 days ago

Sayajiganj Vadodara Gujarat, India A C Agarwal Share Brokers Pvt. Ltd. Full time

**Job Title: Compliance Associate**

A.C. Agarwal Share Brokers is an Indian stock broking company with 20+ years of experience in the capital markets. The company holds memberships of most of India's top stock exchanges and depositories, including NSE, BSE, MCX, and CDSL. With a team of 250+ authorized partners, AC Agarwal is committed to building growth and wealth creation at a national level.

**Role Overview**:
**Key Responsibilities**:

- Review and verify client trade confirmations via:

- Call recordings
- Physical trade slips
- Ensure all trade confirmation records are accurate and compliant with SEBI and exchange regulations.
- Maintain proper documentation and audit trails for all trade verifications.
- Escalate discrepancies or suspicious transactions to the Compliance Manager promptly.
- Coordinate with dealers and back-office teams to rectify any confirmation issues.
- Prepare periodic compliance reports as required.
- Graduate in Commerce/Finance or related field (MBA/PGDM preferred).
- 1-3 years of experience in a compliance or trade verification role in the stock broking or financial services industry.
- Knowledge of SEBI and exchange regulations related to trade confirmations is an advantage.
- Strong attention to detail and organizational skills.
- Proficiency in MS Office (especially Excel).
- Good communication skills - both written and verbal.
- Ability to work independently and as part of a team.

**Benefits**:

- Competitive salary
- Opportunity to work with a reputed broking firm
- Professional growth and learning opportunities

Pay: ₹216,000.00 - ₹400,000.00 per year

**Benefits**:

- Paid time off
- Provident Fund

Schedule:

- Day shift

Supplemental Pay:

- Yearly bonus

Work Location: In person

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