Compliance Executive

• Assist in ensuring compliance with applicable laws, regulations, and internal company policies
• Support preparation, maintenance, and updating of compliance records, registers, and reports
• Assist in filing regulatory returns and documentation within prescribed timelines
• Monitor day-to-day compliance activities and report deviations to seniors
• Coordinate with internal departments for compliance-related data and documentation
• Assist in drafting basic legal documents, notices, and agreements under supervision
• Maintain proper documentation and record-keeping for legal and compliance matters
• Coordinate with external counsel for legal notices, arbitration, or litigation matters.
• Conduct regular branch audits/inspections to verify adherence to operational, KYC/AML, and SEBI norms.
• Monitor record-keeping practices, data privacy protocols, and timely reporting of client trades.
• Identify and report non-compliance or process gaps in branches and assist in remedial action plans.
• Verify client interaction logs, complaint registers, POAs, ledger reconciliations, and contract notes issuance.

Pay: ₹12,000.00 - ₹14,000.00 per month

Benefits:

• Provident Fund

Work Location: In person