Compliance Executive

Job Title: Compliance Officer

Location: [Indore]
Industry: Stock Market Advisory / Financial Services
Reports To: CEO / Director

Job Summary

The Compliance Officer will be responsible for ensuring that the company’s operations, advisory activities, and client dealings fully comply with SEBI regulations, stock market advisory guidelines, and all applicable laws. This role is critical in safeguarding the firm’s legal standing, maintaining ethical business practices, and building client trust.

Key Responsibilities

Regulatory Compliance

• Monitor compliance with SEBI (Investment Advisers) Regulations, 2013 and any amendments.

• Ensure timely registration, renewal, and reporting to SEBI and other regulatory bodies.

• Keep track of all circulars, guidelines, and notifications from SEBI, NSE, BSE, and related authorities, and implement required changes.

• Maintain updated compliance manuals and SOPs for advisory operations.

Client Onboarding & KYC

• Oversee KYC, risk profiling, and suitability assessments before providing any investment advice.

• Ensure disclosure documents, disclaimers, and conflict of interest statements are provided to clients.

• Maintain proper documentation of all client agreements and records as per SEBI norms.

Advisory Practice Oversight

• Review investment advice, research reports, and recommendations for compliance with regulations.

• Ensure no unregistered or unauthorized advisory activity is conducted.

• Monitor communication with clients (calls, emails, WhatsApp, SMS, social media posts) for regulatory compliance.

Internal Controls & Audits

• Develop and implement internal control mechanisms to prevent regulatory violations.

• Conduct periodic internal audits and coordinate with statutory auditors.

• Prepare and submit monthly, quarterly, and annual compliance reports to management and SEBI.

Training & Awareness

• Train staff on SEBI guidelines, ethical practices, and compliance requirements.

• Conduct awareness sessions on market conduct rules and insider trading prevention.

Risk Management

• Identify potential compliance risks and recommend preventive measures.

• Monitor and report breaches, incidents, and violations immediately to senior management.

Record Keeping

• Maintain all records for the prescribed period as per SEBI and Companies Act requirements.

• Ensure data privacy and security of client information.

Qualifications

• Bachelor’s or Master’s degree in Finance, Law, Commerce, or related field.

• Certification in NISM-Series-X-A (Investment Adviser Level 1) and NISM-Series-X-B (Investment Adviser Level 2) preferred.

• Minimum 2–5 years of compliance experience in a stock market advisory, brokerage, or financial services firm.

Skills & Competencies

• Strong knowledge of SEBI regulations, investment advisory norms, and capital market laws.

• Excellent attention to detail and analytical skills.

• Good communication and documentation skills.

• Ability to train and guide teams on compliance matters.

• High ethical standards and integrity.

KPIs (Key Performance Indicators)

• Zero regulatory penalties or warnings.

• 100% timely submission of compliance reports.

• Effective implementation of SEBI guidelines within set deadlines.

• Reduction in compliance-related client grievances.

• It is a Full Time Accountant job for candidates with 1 - 6+ years 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 Post Graduate and above and above with 1 - 6+ years Experience of experience
2. How much salary can I expect for this job role?
   Ans: You can expect a salary of ₹15000 - ₹20000 per month that depends on your interview. It's a Full Time job in Indore.
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., THE WINGS FINTECH.
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 THE WINGS FINTECH
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 सुबह - 06:00 शाम timing.