Compliance Executive
Job Description:
Location: Kolkata
💼 Experience: 3+ years
💰 Compensation: CTC (Gross, inclusive of PF & yearly one take-home salary as a bonus)
Bond: 2yrs
📢 Mode of Interview: Face-to-Face (F2F) only
Key Requirements:
✅ Experience: Minimum 3+ years in compliance roles within the stock broking industry
Qualification: Commerce Graduate (CS not mandatory)
📜 Expertise: SEBI regulations, Exchange compliance (NSE/BSE), and stock broking compliance frameworks
Key Responsibilities:
- Ensuring adherence to SEBI, NSE, BSE, and other regulatory guidelines
- Handling regulatory reporting, audits, and inspections
- Monitoring compliance frameworks, risk assessment, and internal policy adherence
- Coordinating with exchanges, depositories, and regulators on compliance matters
- Keeping updated with stock broking regulations and implementing necessary changes
🎯 Ideal Candidate:
- 3+ years of stock broking compliance experience
- Strong knowledge of SEBI, NSE, and BSE regulations
- Ability to handle audits, regulatory reporting, and compliance policies
- Strong analytical and communication skills
Company Profile
The company started its journey in the year 1994 as a financial service provider and from thereon it moved ahead by expanding and diversifying its scope of services.
Our gamut of activities -
Capital and Future & Option Market Segment
Currency Derivative Segment
Commodity Segment
Wholesale Debt Market Segment
Securities Lending & Borrowing Scheme
Self Clearing Member
Clearing Member
Research Analyst Services
Depository Participant - CDSL & NSDL
Mutual Fund & IPO Marketing
We serve over +1,00,000 varied investor ---s across 600 locations in over 20 states in India through our various businesses.
Apply Now
- Interested candidates are requested to apply for this job.
- Recruiters will evaluate your candidature and will get in touch with you.