
Compliance Executive
3 days ago
Job Title: Compliance Executive
No. of Openings: 1
Location: Vytilla Salary : 16,000
Roles and Responsibilities:
- Liaisoning with the Exchanges.
- Managing inspections carried out by Exchanges, Depositories, and SEBI.
- Handling internal audits related to Depositories and Exchanges.
- Preparing and submitting Enhanced Supervision Data.
- Performing periodic filings to Exchanges.
- Seeking regulatory approvals for advertisements and related materials.
- Ensuring KYC compliance and continuous monitoring.
- Preparing, submitting, and uploading Annual Return Compliance to the Exchanges.
- Handling investor complaints efficiently.
- Conducting control testing, and preparing policies and procedures for compliance.
- Evaluating and implementing new regulatory guidelines.
- Managing internal audits and ensuring timely implementation of audit recommendations.
- Preparing and submitting MIS and status reports.
- Reviewing and updating company forms and internal documents as per applicable Stock Broking/DP guidelines.
- Managing Authorised Person (AP) registration processes with Exchanges and coordinating updates and compliance requirements.
- Liaisoning with the Company Secretary for all secretarial filings and updates related to company details.
Desired Candidate Profile:
- Proven experience in handling compliance and liaisoning with regulators and SEBI.
- Strong verbal and written communication skills.
- Ability to work effectively in a fast-paced environment and meet tight deadlines.
- Eagerness to learn and grow within the organization.
- Proficient in Microsoft Office and internet applications.
Job Type: Full-time
Pay: ₹15, ₹16,000.00 per month
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