Compliance Officer / Compliance Executive – Corporate & Broking - JG

About The Role

Compliance professionals

Key Responsibilities

Corporate Compliance:

• Ensure compliance with various regulations governing Mutual Funds, Bonds, Insurance, NPS, and other financial instruments.
• Draft, review, and vet agreements and compliance documents.
• Prepare and submit compliance reports and filings with regulators in a timely manner.
  

Broking Compliance

• Disseminate regulatory circulars and notifications issued by SEBI, Exchanges, and other regulators; maintain actionable MIS for implementation and adherence.
• Conduct settlement of client balances (funds/securities) and ensure proper documentation.
• Handle AP (Authorized Person) registration/cancellation processes and ensure compliance.
• Manage NEAT/CTCL terminal requests and maintain related MIS.
• Prepare and submit weekly, monthly, quarterly, half-yearly, and annual regulatory returns to the exchanges.
• Coordinate with Exchanges, Clients, and internal departments on compliance matters.
• Maintain client transaction data and ensure proper record-keeping.
• Prepare and maintain various compliance-related MIS reports.
  

Candidate Requirements

• Graduate/Postgraduate in Commerce, Law, Finance, or a related field.
• 2+ years of experience in Compliance (Corporate or Broking domain).
• Sound understanding of SEBI, AMFI, IRDA, and Exchange regulations.
• Strong analytical, documentation, and communication skills.
• Proficient in MS Office and compliance-related reporting tools.