Compliance Executive

6 days ago

Cochin, Kerala, India Hopezen International Private Ltd Full time ₹ 1,92,000 per year

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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