Compliance Executive

Responsible for ensuring end-to-end regulatory and exchange-related compliance for the broking business
In-depth knowledge of SEBI, NSE, BSE, and CDSL regulations
Strong liaison skills with regulators
Ability to independently manage inspections, and audits

Prior experience in compliance within a stock broking/DP firm.
Circulate daily circulars/notifications issued by SEBI, NSE, BSE, and other regulators to relevant departments and ensure timely compliance within TAT.
Monitor, review, and respond to alerts/queries raised by stock exchanges and regulators.
Handle inspections from SEBI, NSE, and BSE, ensuring timely and accurate responses.
Maintain and update CTCL (Computer-to-Computer Link) data on exchanges.
Draft and reply to correspondences received from SEBI/Exchanges.
Oversee concurrent and internal audits of Depository Participant (DP) and stockbroking operations.
Manage registration, renewal, and cancellation of Authorized Persons (APs) with exchanges.
Upload investor complaint details with exchanges and ensure timely reporting.
Prepare and submit quarterly AP inspection reports, MIS, and compliance updates to the Board.
Handle new membership registration processes with NSE, BSE, and CDSL.
Prepare and submit quarterly surveillance alert reports to exchanges.
Proficiency in compliance monitoring, regulatory reporting, and exchange portals.
Strong communication, analytical, and stakeholder management skills.

• It is a Full Time Legal job for candidates with 2 - 3 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 2 - 3 years of experience of experience
2. How much salary can I expect for this job role?
   Ans: You can expect a salary of ₹35000 - ₹45000 per month that depends on your interview. It's a Full Time job in Ahmedabad.
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., Veerun Consultancy.
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 Veerun Consultancy
7. Who can apply for this job?
   Ans: Both Male and Female candidates can apply for this Legal job.
8. What are the timings of this Compliance Executive job?
   Ans: This Compliance Executive job has 08:45 AM - 06:30 PM timing.