Job Description

We specialize in equity trading, commodity trading, and portfolio rebalancing. With over 15 years of experience in the financial industry.

We cater to HNI, UHNI, NRI, and institutional clients, offering a professional and technology-driven platform for reliable and efficient financial services. Our vision is to combine technology with finance, ensuring our clients experience intelligent, seamless, and secure trading solutions. we believe in customer centricity, integrity, and innovation, making us one of the most trusted financial partners in the industry.

Job Summary

The Compliance Executive will be responsible for ensuring adherence to all applicable laws, rules, and guidelines prescribed by SEBI, NSE, BSE, MCX, NSDL/CDSL, and other regulatory authorities. The role involves managing regulatory compliance, CTCL administration, internal audits, inspections, and ensuring the company's operations meet the highest standards of governance and control.

Key Responsibilities

Ensure full compliance with SEBI, NSE, BSE, MCX, and depository regulations. Prepare, review, and file all periodic compliance reports, disclosures, and returns to regulators and exchanges. CTCL Management Manage CTCL (Computer-to-Computer Link) user IDs and dealer codes. Maintain records of trading terminals, authorized users, and related exchange communications and Ensure compliance with exchange CTCL norms. Internal Audit & Inspection: Coordinate with internal auditors and assist in SEBI, exchange, and depository inspections. Prepare data, documentation, and replies to queries raised during inspections or audits. Track implementation of audit observations and compliance findings. Track regulatory circulars, amendments, and notifications; ensure prompt internal dissemination and compliance and ensure timely review and update of compliance manuals, internal controls, and SOPs. Support the Compliance Officer in risk assessments and compliance testing. Conduct periodic employee training and awareness programs on compliance and regulatory updates. Maintain up-to-date records of licenses, registrations, and other statutory approvals.

Qualifications and Skills

Education

: Graduate in Commerce, Law, or Finance. Preferred: Company Secretary (CS), Chartered Accountant (CA Inter)

Experience

: Fresher or experienced may apply having 1-3 years of relevant experience

Technical Skills

: Working knowledge of SEBI, NSE, BSE, MCX, and depository compliance requirements. Proficiency in MS Office (Excel, Word) and regulatory portals (NSE/BSE/SEBI).

Soft Skills

: Excellent communication, analytical, and documentation skills with attention to detail.

Key Attributes

High ethical standards, integrity, and confidentiality. Proactive, well-organized, and able to handle multiple tasks simultaneously. Strong coordination and follow-up ability across departments and regulators.

Remuneration

: Commensurate with qualifications and experience

Send resume at

- 8511911229

Job Type: Full-time

Pay: ?30,000.00 - ?40,000.00 per month

Work Location: In person