Compliance Executive

Job Title: Compliance Executive

Job Summary

Growthvista Research Services Pvt. Ltd. is looking for a Compliance Executive who will be responsible for ensuring regulatory compliance, maintaining client records, managing compliance documentation, and coordinating with clients regarding compliance-related matters. The ideal candidate should possess strong communication skills, CRM knowledge, and a good understanding of SEBI regulations applicable to the financial services industry.

Key Responsibilities

• Maintain and update client records, compliance documentation, and regulatory reports.

• Monitor and ensure adherence to SEBI regulations and guidelines.

• Maintain accurate records of client communications, complaints, and resolutions.

• Utilize CRM software to manage client data, track interactions, and generate reports.

• Coordinate with internal departments to ensure smooth compliance operations.

• Conduct regular audits of records and documentation to ensure accuracy and completeness.

• Prepare compliance reports and submit them to management as required.

• Identify compliance gaps and recommend corrective actions.

• Ensure confidentiality and security of client information and company records.

Required Skills & Qualifications

• Bachelor's degree in Commerce, Business Administration, Finance, Law, or a related field.

• Knowledge of SEBI regulations and compliance requirements.

• Hands-on experience or working knowledge of CRM software.

• Excellent written and verbal communication skills in English.

• Strong documentation and record-management abilities.

• Proficiency in MS Excel, Word, and other Microsoft Office applications.

• Strong attention to detail and analytical skills.

• Ability to manage multiple tasks and meet deadlines.

Preferred Experience

• 1–3 years of experience in Compliance, Client Relations, Operations, or a similar role.

• Experience in the financial services, stock market, investment advisory, or research industry will be preferred.

• Freshers with strong knowledge of compliance and regulatory frameworks may also apply.

• Professional and ethical approach to work.

• Strong organizational and follow-up skills.

• Ability to handle confidential information responsibly.

• Client-centric mindset with excellent interpersonal skills.

• Proactive approach toward compliance monitoring and issue resolution.

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