Jobs

Interviews
Job Alerts
Tools

Upskill and Grow with AI

Mock Interview Practice interviews in realistic simulations

Coding Practice Improve your coding skills with challenges

Certification Earn certifications to validate your skills

AI Learning Get trained with AI expert sessions

Career Path AI insights for smarter career decisions

AI Job Match Score AI-Powered Job Match Against Your Resume and Optimize Your Resume

Career Tools and Resources

Resume Builder Build Professional Resume with Ease

ATS Friendliness Check Check Resume Friendliness for Applicant Tracking Systems

Auto Apply Apply to hundreds of jobs on any platform effortlessly

Co-Pilot (Chrome Extension) Your AI Assistant for Seamless Browsing Efficiency

Interview Questions Streamline interviews with ready-to-use questions

Salaries Discover market-driven salary insights across skillsets and geographies

Companies Explore leading companies actively hiring talent
For Employers

Jobs

Interviews

Home
>
Jobs in surat
>
Arham Wealth
>
Sr . Compliance Executive

Sr . Compliance Executive

Arham Wealth

3 - 5 years

5 - 7 Lacs

surat

Posted:None| Platform:

Apply

Skills Required

nse equity market wealth management compliance senior management financial products mutual funds operational risk management research analyst sebi

Work Mode

Work from Office

Job Type

Full Time

Job Description

Develop, implement, and manage the companys Regulatory compliance requirements.

Monitor and analyze trading activities for any irregularities or compliance.

Conduct regular audits and risk assessments.

Implementation of all regulatory changes

Provide compliance training and support to employees.

Stay updated with regulatory changes and ensure company policies are updated accordingly.

Prepare and submit compliance reports to regulatory bodies.

Collaborate with internal and external stakeholders to address compliance issues.

Ensuring SEBI compliances for Broking, Research Analyst, PMS, Depository Participant.

Co-ordinate with Exchanges, Depositories, SEBI for various inspections and responding to queries.

Co-ordinate with Internal auditors, system auditors and various other audits.

Liasoning with product and sales team for getting empaneled with various fund houses, AMCs and AIFs for distribution of third party financial products

Qualifications:

Education: CS/CA/LLB/MBA or candidates with compliance experience

Additional certifications such as NISM Series IIIA (Compliance Officer Module) or NISM Series VII (Securities Operations & Risk Management) are desirable.

Experience: 3-5 years of relevant experience in compliance within Institutional Equities or a broking/investment firm.

Experience dealing with SEBI, NSE, BSE, and understanding of institutional investor categories (FPIs, Mutual Funds, AIFs, and PMS).

Skills & Competencies:

Strong knowledge of SEBI regulations, equity market structure, and institutional trading norms.

Sound skill of drafting regulatory correspondence and other documents of business, compliances etc.

Excellent communication skills ability to interact effectively with trading desks, senior management, and regulators.

Proficiency in Excel, Word, and exposure to trading and surveillance systems.

Job Application Form Full Name Email Address Phone Number City LinkedIn Profile (Optional) Upload Resume

Upload Resume Note: You can upload files up to a maximum size of 5 MB.

More Jobs at Arham Wealth

Accounts Executive

Surat

2.0 - 7.0 yrs

INR 4 - 9 Lacs

Sr . Compliance Executive

surat

3.0 - 5.0 yrs

INR 5 - 7 Lacs

Equity Dealer

mumbai, mumbai suburban, malda

5.0 - 8.0 yrs

INR 7 - 10 Lacs

PMS Sales Head

surat

1.0 - 5.0 yrs

INR 3 - 6 Lacs

Customer Care Executive

surat

2.0 - 3.0 yrs

INR 4 - 5 Lacs

Mock Interview

Practice Video Interview with JobPe AI

Start Job-Specific Interview

Start Your Job Search Today

Browse through a variety of job opportunities tailored to your skills and preferences. Filter by location, experience, salary, and more to find your perfect fit.

Job Application AI Bot

Apply to 20+ Portals in one click

Download Now

Download the Mobile App

Instantly access job listings, apply easily, and track applications.

Enhance Your Skills

Practice coding challenges to boost your skills

Start Practicing Now

Arham Wealth

Login to

Please Verify Your Phone or Email

Confirm Action

Search

Profile

Upskill and Grow with AI

Sr . Compliance Executive