Compliance Executive

2 days ago


Agra, Uttar Pradesh, India Raghunandan Capital Full time ₹ 6,00,000 - ₹ 12,00,000 per year
  • Ensure compliance with all regulatory requirements (e.g., SEBI, NSE, BSE, RBI, IRDAI, or other applicable regulators).
  • Maintain and update compliance policies, procedures, and manuals in line with regulatory changes.
  • Conduct periodic internal audits, inspections, and risk assessments to identify gaps and recommend corrective actions.
  • Prepare and submit periodic reports, returns, and filings to regulators and authorities.
  • Monitor client onboarding (KYC/AML checks) and ensure adherence to Anti-Money Laundering (AML) and Prevention of Insider Trading guidelines.
  • Review agreements, contracts, and internal processes for compliance risks.
  • Conduct employee training and awareness sessions on compliance policies and ethical practices.
  • Act as a liaison with auditors, regulators, and law enforcement agencies as and when required.
  • Investigate compliance-related complaints, breaches, or suspicious activities, and report findings to senior management.
  • Stay updated with the latest regulatory guidelines, circulars, and industry best practices.

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