Compliance Executive

8 hours ago

Kochi, India Pentad Securities Pvt. Ltd Full time

**Roles and Responsibilities**
- Liasioning with the Exchanges
- Managing Inspections carried out by exchanges, depositories and SEBI
- Managing internal audits related to depositories and Exchanges
- Submission of Enhanced supervision data
- Periodic filings to Exchanges
- Seeking regulatory approvals for advertisements etc
- KYC Compliances and monitoring
- Preparation, submission, and uploading Annual return Compliance to the exchanges.
- Handling investors complaints
- Controls testing, preparing policies, procedures for compliance
- Evaluating new regulatory guidelines and implementation
- Handling internal audits and implementation
- Preparation and submission of MIS and status reports
- Reviewing updating company forms and internal documents in line with applicable stock broking / DP guidelines
- Authorised Person registration process with Exchanges, coordination with AP’s for all further updates and AP compliances.
- Liasioning with Company Secretary for all secretarial filings with respect to secretarial changes in the company details.
- Effective verbal and written communication skills
- Adept to work in a fast-paced business environment and deliver within tight deadlines
- Attitude to learn and grow
- Computer knowledge in Microsoft Office and internet usages

**Salary**: From ₹12,000.00 per month

Schedule:

- Morning shift

Ability to commute/relocate:

- Kochi, Kerala: Reliably commute or planning to relocate before starting work (required)

**Experience**:

- total work: 1 year (preferred)

  • Compliance Executive

    2 weeks ago

    Kochi, India ADS INTERNATIONAL AUDITORS LLC ADS MANAGEMENT AND TAX CONSULTANCY Full time

    We are looking for a Compliance Executive to join our Indian team and contribute towards the compliance and regulatory domain. **Responsibilities**: Develop, implement, and maintain compliance policies and procedures in accordance with relevant regulations and laws, including AML, ESR, VAT Compliance, Corporate Tax Compliance, and other applicable...

  • Executive - Corporate Compliance

    1 week ago

    Kochi, India Mangalam Placement Full time

    **Company**: M A MOIDEEN & ASSOCIATES **Location** Kochi **Experience** 2-3 Years **Key Skills** communication skill, accounting, Finance, Auditing, Audit Report **Position: Executive - Corporate Compliance** **Qualification: CS** **Experience: 0 to 3 years** **Location: Kochi** **Job description** Vacancy for passionate semi-qualified Company...

  • Compliance Officer

    1 day ago

    Kochi, India GramPro Business Services Pvt. Ltd. Full time

    We are hiring for leading NBFC client based in Kochi.Key ResponsibilitiesDesign, execute, and oversee the company’s AML & CTF compliance programPerform ongoing risk assessments for money laundering and financial crimeMonitor customer transactions and flag unusual or suspicious activityReview and escalate Suspicious Activity Reports (SARs) to MLRO or...

  • Compliance Officer

    17 hours ago

    Kochi, India GramPro Business Services Pvt. Ltd. Full time

    We are hiring for leading NBFC client based in Kochi.Key ResponsibilitiesDesign, execute, and oversee the company’s AML & CTF compliance programPerform ongoing risk assessments for money laundering and financial crimeMonitor customer transactions and flag unusual or suspicious activityReview and escalate Suspicious Activity Reports (SARs) to MLRO or...

  • Compliance Executive

    2 weeks ago

    Kakkanad, Kochi, Kerala, India Zoot Stay, Infopark Kochi Full time ₹ 2,40,000 - ₹ 3,60,000 per year

    Job Overview:We are looking for a detail-oriented and proactive Compliance Executive to manage statutory registrations, company filings, and regulatory compliance for our clients. The ideal candidate will have hands-on experience in company incorporation, annual filings, MSME registration, and other statutory compliance processes. This role requires...

  • Governance, Risk

    2 weeks ago

    Kochi, India Art Technology and Software Full time

    The GRC Lead will be responsible for overseeing the governance, risk management, and compliance functions within the organization. Strategic Governance & Leadership Lead the design, execution, and maturation of the organization's comprehensive GRC strategy, encompassing policy governance, risk management frameworks, compliance programs, and continuous...

  • Governance risk and compliance lead

    1 week ago

    Kochi, India Art Technology And Software Full time

    The GRC Lead will be responsible for overseeing the governance, risk management, and compliance functions within the organization. Strategic Governance & Leadership Lead the design, execution, and maturation of the organization's comprehensive GRC strategy, encompassing policy governance, risk management frameworks, compliance programs, and continuous...

  • Governance, risk, and compliance lead

    2 weeks ago

    Kochi, India Art Technology And Software Full time

    The GRC Lead will be responsible for overseeing the governance, risk management, and compliance functions within the organization.ResponsibilitiesStrategic Governance & LeadershipLead the design, execution, and maturation of the organization’s comprehensive GRC strategy, encompassing policy governance, risk management frameworks, compliance programs, and...

  • Governance, Risk, and Compliance Lead

    1 week ago

    Kochi, India Art Technology and Software Full time

    The GRC Lead will be responsible for overseeing the governance, risk management, and compliance functions within the organization.ResponsibilitiesStrategic Governance & LeadershipLead the design, execution, and maturation of the organization’s comprehensive GRC strategy, encompassing policy governance, risk management frameworks, compliance programs, and...

  • Governance, risk, and compliance lead

    1 week ago

    Kochi, India Art Technology And Software Full time

    The GRC Lead will be responsible for overseeing the governance, risk management, and compliance functions within the organization.ResponsibilitiesStrategic Governance & LeadershipLead the design, execution, and maturation of the organization’s comprehensive GRC strategy, encompassing policy governance, risk management frameworks, compliance programs, and...