Compliance Executive

Raghunandan Capital

1 - 4 years

1 - 3 Lacs

agra

Posted:-1 days ago| Platform:

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Skills Required

nse compliance executive stock exchange sebi aml companies act compliance internal audit roc ncdex nsdl cs regulation bse lodr stock market listing agreement sebi regulations

Work Mode

Work from Office

Job Type

Full Time

Job Description

Ensure compliance with all regulatory requirements (e.g., SEBI, NSE, BSE, RBI, IRDAI, or other applicable regulators).
Maintain and update compliance policies, procedures, and manuals in line with regulatory changes.
Conduct periodic internal audits, inspections, and risk assessments to identify gaps and recommend corrective actions.
Prepare and submit periodic reports, returns, and filings to regulators and authorities.
Monitor client onboarding (KYC/AML checks) and ensure adherence to Anti-Money Laundering (AML) and Prevention of Insider Trading guidelines.
Review agreements, contracts, and internal processes for compliance risks.
Conduct employee training and awareness sessions on compliance policies and ethical practices.
Act as a liaison with auditors, regulators, and law enforcement agencies as and when required.
Investigate compliance-related complaints, breaches, or suspicious activities, and report findings to senior management.
Stay updated with the latest regulatory guidelines, circulars, and industry best practices.

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