Compliance Executive

Job Title: Compliance Executive

A.C. Agarwal Share Brokers is an Indian stock broking company with 20+ years of experience in the capital markets. The company holds memberships of most of India's top stock exchanges and depositories, including NSE, BSE, MCX, and CDSL. With a team of 250+ authorized partners, AC Agarwal is committed to building growth and wealth creation at a national level.

Role Overview:

We are seeking a detail-oriented and responsible Compliance Associate to join our Compliance Team at our Vadodara office. The ideal candidate will be responsible for verifying trade confirmations through various channels such as call recordings, email confirmations, and physical trade slips. This role is crucial in ensuring regulatory compliance and accuracy in client trade executions.

Key Responsibilities:

• Review and verify client trade confirmations via:
  

  • Call recordings
    

  • Email confirmations
    

  • Physical trade slips
    
    

• Ensure all trade confirmation records are accurate and compliant with SEBI and exchange regulations.
  

• Maintain proper documentation and audit trails for all trade verifications.
  

• Escalate discrepancies or suspicious transactions to the Compliance Manager promptly.
  

• Coordinate with dealers and back-office teams to rectify any confirmation issues.
  

• Prepare periodic compliance reports as required.
  
  

Candidate Requirements:

• Graduate in Commerce/Finance or related field (MBA/PGDM preferred).
  

• 1–3 years of experience in a compliance or trade verification role in the stock broking or financial services industry.
  

• Knowledge of SEBI and exchange regulations related to trade confirmations is an advantage.
  

• Strong attention to detail and organizational skills.
  

• Proficiency in MS Office (especially Excel).
  

• Good communication skills – both written and verbal.
  

• Ability to work independently and as part of a team.
  
  

Benefits:

• Competitive salary
  

• Opportunity to work with a reputed broking firm
  

• Professional growth and learning opportunities

• It is a Full Time Accountant job for candidates with 0 - 4 years of experience.

More about this Compliance Executive job

1. What is the eligibility criteria to apply for this Compliance Executive job?
   Ans: The candidate should be Graduate and above and above with 0 - 4 years of experience of experience
2. How much salary can I expect for this job role?
   Ans: You can expect a salary of ₹18000 - ₹24000 per month that depends on your interview. It's a Full Time job in Vadodara.
3. How many working days are there for this Compliance Executive job?
   Ans: This Compliance Executive job will have 6 working days.
4. Are there any charges applicable while applying or joining this Compliance Executive job?
   Ans: No, there is no fee applicable for applying this Compliance Executive job and during the employment with the company, i.e., AC AGARWAL SHARE BROKERS PRIVATE LIMITED.
5. Is it a work from home job?
   Ans: No, it’s not a work from home job and can't be done online.
6. How many openings are there for this Compliance Executive role?
   Ans: There is an immediate opening of 1 Compliance Executive at AC AGARWAL SHARE BROKERS PRIVATE LIMITED
7. Who can apply for this job?
   Ans: Both Male and Female candidates can apply for this Accountant job.
8. What are the timings of this Compliance Executive job?
   Ans: This Compliance Executive job has 09:00 AM - 06:00 PM timing.