Audit & Compliance of SEBI Intermediaries

1 week ago

College Square Kolkata West Bengal, India Gautam Agarwal & Co. Full time ₹ 40,00,000 - ₹ 80,00,000 per year

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.

(Candidates pursuing CA/CS/CMA or with basic knowledge of securities market regulations will be preferred.)

  • Experience:
  • Freshers or candidates with up to 2 years of experience in Compliance, Audit, or Financial Services may apply.
  • 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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