Executive - Compliance

1 day ago


Delhi NCR Noida, India Elite Wealth Advisors Full time ₹ 5,00,000 - ₹ 15,00,000 per year
  • Ensure compliance with SEBI, NSE, BSE, MCX guidelines.
  • Track and implement regulatory circulars.
  • Prepare and submit regulatory reports on time.
  • Conduct internal compliance checks & audits.
  • Verify client KYC and ensure PMLA compliance.
  • Maintain compliance records, registers, and documentation.
  • Handle queries from regulators and internal teams.

Preferred candidate profile

  • 1-3 years experience in stock broking compliance.
  • Knowledge of SEBI/Exchange rules, KYC, PMLA

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