Compliance Executive

-Ensure compliance with regulatory guidelines issued by SEBI, NSE, BSE, and other regulatory authorities.

-Prepare and submit periodic compliance reports to regulators within defined timelines.

-Maintain statutory registers, records, and compliance documentation.

-Monitor daily compliance activities including client onboarding and KYC verification.

-Ensure adherence to internal policies and regulatory frameworks.

-Coordinate with internal departments for compliance-related requirements.

-Assist in handling regulatory inspections, internal audits, and external audits.

-Monitor compliance alerts and circulars issued by regulatory bodies.

-Maintain records of regulatory filings, licenses, and approvals.

-Track due dates for regulatory submissions and ensure timely completion.

-Assist in drafting compliance policies, SOPs, and procedures.

-Identify compliance risks and recommend corrective actions.