Audit & Compliance of Sebi Intermediaries

2 days ago

College Square Kolkata West Bengal, India Gautam Agarwal & Co. Full time

**Job Title**:
**Internal Compliance Auditor - SEBI Intermediaries Compliances (Full Time)**

**Location**:
Kolkata

**Department**:
Compliance & Internal Audit

**Job Summary**:
We are looking for a motivated and detail-oriented **Internal Compliance Auditor** to support our internal audit and regulatory compliance functions related to **SEBI-registered intermediaries** such as Stock Brokers, Depository Participants, and Portfolio Managers.
The role involves conducting compliance checks, reviewing internal processes, and ensuring adherence to **SEBI, NSE, BSE, and MCX** regulations.

Freshers with a strong interest in compliance, audit, and financial regulations are also encouraged to apply.

**Key Responsibilities**:

- Assist in conducting **internal compliance audits** in line with SEBI and Exchange guidelines.
- Monitor **regulatory circulars** from SEBI, NSE, BSE, and MCX and help ensure timely implementation.
- Support in the **preparation of audit reports**, compliance checklists, and follow-up action plans.
- Maintain and update **records, reports, and documentation** for audit and regulatory purposes.
- Coordinate with various departments to ensure **timely closure of compliance observations.**:

- Learn and assist in **risk assessment** and internal control evaluations.

**Required Qualifications and Skills**:

- **Education**:
Graduate or Postgraduate in Commerce, Finance, Accounting, or Law.
- **Experience**:

- **Skills**:

- Basic understanding of SEBI regulations and capital market operations (preferred).
- Strong analytical and documentation skills.
- Proficiency in MS Excel, Word, and report preparation.
- Good communication and coordination abilities.
- Willingness to learn and grow in the field of compliance and auditing.

**Key Competencies**:

- Integrity and ethical judgment
- Regulatory awareness
- Analytical thinking
- Attention to detail
- Team collaboration
- Accountability and time management

**Employment Type**:
Full-time (On-site/Hybrid as per company policy)

**Salary Range**:
Not Disclosed

**Growth Opportunities**:

- Exposure to **SEBI and Exchange compliance frameworks**:

- Training under **experienced auditors and compliance professionals**:

- Opportunities to grow into **Compliance Officer / Senior Auditor** roles

**Job Types**: Full-time, Permanent, Fresher

Work Location: In person

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