Compliance executive for one of the stock broking form for Kolkata

Job Description:

Job Title: Compliance Executive

Location: Kolkata

Experience: Freshers (Law Graduates) or up to 1 year of experience

Gender Preference: Male Candidates

Joining: Immediate

Job Overview:

We are looking for dynamic and enthusiastic Law Graduates with a keen interest in Stock Broking Compliance. The ideal candidate should be eager to learn and grow in the compliance domain while having hands-on experience in trading at a personal level. This is a great opportunity to build a career in the financial markets and regulatory compliance.

Key Responsibilities:

• Ensure compliance with SEBI, NSE, BSE, and other regulatory guidelines.
• Assist in audits, inspections, and regulatory filings.
• Maintain records and compliance reports as per regulatory requirements.
• Monitor internal trading activities to ensure adherence to rules.
• Support the compliance team in risk assessment and mitigation strategies.
• Stay updated with the latest regulatory changes in the stock broking industry.
• Coordinate with various departments for compliance-related matters.

Requirements:

• Law Graduate (LLB) – Freshers or up to 1 year of experience in Compliance or Stock Broking.
• Strong interest in Stock Market & Trading (must have personal trading experience).
• Good understanding of SEBI regulations and financial laws (preferred but not mandatory).
• Excellent analytical, communication, and documentation skills.
• Ability to work in a fast-paced and dynamic environment.
• Must be a male candidate and available for immediate joining.

Why Join Us?

• Opportunity to build a career in Stock Market Compliance.
• Hands-on learning and mentorship from experienced professionals.
• Exposure to regulatory frameworks and trading operations.
• Competitive salary with growth opportunities.