Job Description

Job Title: Compliance Executive

About the Company:

Join one of India's most trusted and fastest-growing financial services organizations, with over

30 years of industry excellence

. We are committed to maintaining the highest standards of compliance, ethics, and client trust.

Position Overview:

The

Compliance Executive

will be responsible for ensuring that the company's operations align with all applicable regulatory, exchange, and internal compliance requirements. The role involves continuous monitoring, reporting, and coordination with management to uphold compliance standards across all functions.

Education & Qualifications:

Post-Graduation in Commerce (M.Com) / LLB / MBA (Finance) / CS Executive (any group) Candidates with prior

experience in a stock broking or financial services firm

will be preferred

Proficiency in Advanced Excel and MS Word

is essential Good communication and analytical skills are a must

Key Responsibilities:

Monitor and review operational processes to ensure full compliance with exchange regulations and ethical standards. Handle daily, weekly, and monthly data uploads, downloads, and submissions in Excel and other reporting formats. Actively track and monitor files to prevent non-compliance, damages, or penalties. Coordinate between department heads and senior management to ensure adherence to compliance frameworks. Conduct periodic assessments, inspections, and internal compliance checks. Assist in implementing new regulatory updates and compliance procedures.

Skills Required:

Strong analytical and problem-solving abilities Excellent verbal and written communication skills High level of integrity, professionalism, and attention to detail Ability to work independently as well as collaboratively across teams

Certification Requirement:

Must complete a

compliance-related certification

within

3 months of joining

Job Type:

Salary: Salary

: up to Rs. 35000 per month

Job Types: Full-time, Permanent,

Benefits:

Leave encashment

Schedule:

Day shift Morning shift

Work Location:

In person

HR Recruiter Contact Number :

8140042333

Job Types: Full-time, Permanent

Pay: Up to ₹35,000.00 per month

Benefits:

Leave encashment
Work Location: In person