Compliance Executive

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: ₹15,000.00 - ₹16,000.00 per month