Sr. Compliance Executive

2 weeks ago

Surat, Gujarat, India Arham Wealth Management Private Limited Full time ₹ 12,00,000 - ₹ 36,00,000 per year

Role & Responsibilities

· Develop, implement, and manage the company's Regulatory compliance requirements.

· Monitor and analyze trading activities for any irregularities or compliance.

· Conduct regular audits and risk assessments.

· Implementation of all regulatory changes

· Provide compliance training and support to employees.

· Stay updated with regulatory changes and ensure company policies are updated accordingly.

· Prepare and submit compliance reports to regulatory bodies.

· Collaborate with internal and external stakeholders to address compliance issues.

· Ensuring SEBI compliances for Broking, Research Analyst, PMS, Depository Participant.

· Co-ordinate with Exchanges, Depositories, SEBI for various inspections and responding to queries.

· Co-ordinate with Internal auditors, system auditors and various other audits.

· Liasoning with product and sales team for getting empanelled with various fund houses, AMC's and AIF's for distribution of third party financial products

Qualifications:

Education:
• CS/CA/LLB/MBA or candidates with compliance experience


• Additional certifications such as NISM Series IIIA (Compliance Officer Module) or NISM Series VII (Securities Operations & Risk Management) are desirable.

Experience:
• 3-5 years of relevant experience in compliance within Institutional Equities or a broking/investment firm.


• Experience dealing with SEBI, NSE, BSE, and understanding of institutional investor categories (FPIs, Mutual Funds, AIFs, and PMS).

Skills & Competencies:


• Strong knowledge of SEBI regulations, equity market structure, and institutional trading norms.


• Sound skill of drafting regulatory correspondence and other documents of business, compliances etc.


• Excellent communication skills – ability to interact effectively with trading desks, senior management, and regulators.


• Proficiency in Excel, Word, and exposure to trading and surveillance systems.

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