కంప్లయన్స్ ఎగ్జిక్యూటివ్

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 అకౌంటెంట్ job for candidates with 1 - 6+ years Experience.

కంప్లయన్స్ ఎగ్జిక్యూటివ్ job గురించి మరింత

1. కంప్లయన్స్ ఎగ్జిక్యూటివ్ jobకు apply చేయడానికి అర్హతా ప్రమాాణాలు ఏమిటి?
   Ans: అభ్యర్థికి పోస్ట్ గ్రాడ్యుయేట్, అంత కంటే ఎక్కువ మరియు అంతకంటే ఎక్కువ 1 - 6+ years Experience అనుభవంతో ఉండాలి
2. ఈ Job రోల్ కోసం నేను ఎంత జీతం ఆశించగలను?
   Ans: మీ ఇంటర్వ్యూపై ఆధారపడి శాలరీ ₹15000 - ₹20000 నెలకుని మీరు ఆశించవచ్చు. ఇది ఇండోర్లో Full Time Job.
3. కంప్లయన్స్ ఎగ్జిక్యూటివ్ job కొరకు ఎన్ని పనిదినాలు ఉన్నాయి?
   Ans: ఈ కంప్లయన్స్ ఎగ్జిక్యూటివ్ jobకు 6 working days ఉంటాయి.
4. ఈ కంప్లయన్స్ ఎగ్జిక్యూటివ్ jobకు apply చేసేటప్పుడు లేదా చేరేటప్పుడు ఏవైనా ఛార్జీలు ఉన్నాయా?
   Ans: లేదు, ఈ కంప్లయన్స్ ఎగ్జిక్యూటివ్ jobకు కంపెనీలో ఉదాహరణకు, THE WINGS FINTECHలో పనిచేసేటప్పుడు ఎలాంటి ఫీజులు వర్తించవు.
5. ఇది ఇంటి నుండి పని చేసే పనినా?
   Ans: లేదు, ఇది ఇంటి వద్ద నుంచి Job కాదు మరియు ఆన్‌లైన్‌లో చేయలేం.
6. ఈ కంప్లయన్స్ ఎగ్జిక్యూటివ్ రోల్ కు ఎన్ని ఓపెనింగ్‌లు ఉన్నాయి?
   Ans: THE WINGS FINTECH వద్ద 1 కంప్లయన్స్ ఎగ్జిక్యూటివ్ ఇమ్మీడియెట్ ఓపెనింగ్ ఉంది
7. ఈ Jobకు ఎవరు apply చేసుకోవచ్చు?
   Ans: ఈ అకౌంటెంట్ jobకి పురుష, మహిళా అభ్యర్థులు apply చేసుకోవచ్చు.
8. ఈ కంప్లయన్స్ ఎగ్జిక్యూటివ్ Job టైమింగ్స్ ఏమిటి?
   Ans: ఈ కంప్లయన్స్ ఎగ్జిక్యూటివ్ jobకు 09:00 सुबह - 06:00 शाम టైమింగ్ ఉంటుంది.