Compliance Executive

3 days ago

Bhowanipore Kolkata West Bengal, India Ashika Stock Broking Full time

**Job Summary**:
The Compliance Executive ensures adherence to all regulatory and legal requirements established by governing bodies, such as SEBI (Securities and Exchange Board of India), exchanges, and other financial authorities. This role involves

monitoring, reporting, and providing guidance to ensure compliance and mitigate risks.

**Role Responsibilities**:

- Ensure the firm complies with all SEBI, stock exchange, and other regulatory requirements.
- Prepare and submit periodic reports to regulatory authorities and exchanges.
- Stay updated on changes in regulations and implement necessary modifications to internal policies and procedures.
- Monitor trading activities to identify and report unusual or non-compliant transactions.
- Conduct periodic audits to assess compliance with policies, procedures, and regulatory standards.
- Oversee KYC (Know Your Customer) and AML (Anti-Money Laundering) processes to ensure accuracy and adherence.
- Assist in drafting and updating internal compliance policies, procedures, and manuals.
- Train employees on compliance requirements and industry regulations.
- Coordinate with different departments to enforce compliance standards.
- Investigate and report compliance breaches or violations to the appropriate authorities.
- Provide support during regulatory audits and inspections.
- Maintain records of incidents, actions taken, and their resolutions.
- Identify compliance risks and recommend mitigation strategies.
- Ensure robust controls are in place for sensitive areas like client data protection and insider trading.
- Support senior management in making informed compliance-related decisions.

**Role Requirements**:

- A high school diploma or equivalent is required; a degree in hospitality, business administration, or a related field is
- preferred.
- 1-3 years of experience in a similar role is preferred.
- Excellent verbal and written communication skills.
- Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).
- Ability to multitask and work efficiently under pressure.
- Strong organizational and problem-solving skills.
- Professional appearance and demeanor.

Pay: ₹20,000.00 - ₹50,000.00 per month

Work Location: In person

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