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Compliance Executive

Compliance Executive

Wahed

2 - 5 years

4 - 8 Lacs

Mumbai

Posted:1 month ago| Platform:

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Skills Required

SEBI Compliance AML risk control drafting Regulatory Compliance

Work Mode

Work from Office

Job Type

Full Time

Job Description

We are seeking Compliance Executive to support the compliance and governance framework of a SEBI-registered Investment Adviser operating via a digital/fintech platform. This role will ensure regulatory adherence, risk control, and ethical delivery of automated or advisor-assisted investment advisory services, in line with SEBI norms and fintech best practices. Ensure compliance with SEB. Implement and monitor compliance checks. Assist in drafting and maintaining Compliance Manuals and Policies. Assist in preparing for and responding to SEBI inspections and internal audits. Working knowledge of the SEBI IA Regulations, SEBI LODR, AML guidelines, and SEBI circulars applicable to RIA's

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Compliance Executive