: Compliance Executive

Job Description:

Role Responsibilities:

 Ensure the firm complies with all SEBI, stock exchange, and other regulatory requirements.

 Prepare and submit periodic reports to regulatory authorities and exchanges.

 Stay updated on changes in regulations and implement necessary modifications to internal policies and procedures.

 Monitor trading activities to identify and report unusual or non-compliant transactions.

 Conduct periodic audits to assess compliance with policies, procedures, and regulatory standards.

 Oversee KYC (Know Your Customer) and AML (Anti-Money Laundering) processes to ensure accuracy and adherence.

 Assist in drafting and updating internal compliance policies, procedures, and manuals.

 Train employees on compliance requirements and industry regulations.

 Coordinate with different departments to enforce compliance standards.

 Investigate and report compliance breaches or violations to the appropriate authorities.

 Provide support during regulatory audits and inspections.

 Maintain records of incidents, actions taken, and their resolutions.

 Identify compliance risks and recommend mitigation strategies.

 Ensure robust controls are in place for sensitive areas like client data protection and insider trading.

 Support senior management in making informed compliance-related decisions.

Role Requirements:

 A high school diploma or equivalent is required; a degree in hospitality, business administration, or a related field is

preferred.

 1-3 years of experience in a similar role is preferred.

 Excellent verbal and written communication skills.

 Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).

 Ability to multitask and work efficiently under pressure.

 Strong organizational and problem-solving skills.

 Professional appearance and demeanor.