- Assist in ensuring compliance with applicable laws, regulations, and internal company policies
- Support preparation, maintenance, and updating of compliance records, registers, and reports
- Assist in filing regulatory returns and documentation within prescribed timelines
- Monitor day-to-day compliance activities and report deviations to seniors
- Coordinate with internal departments for compliance-related data and documentation
- Assist in drafting basic legal documents, notices, and agreements under supervision
- Maintain proper documentation and record-keeping for legal and compliance matters
- Coordinate with external counsel for legal notices, arbitration, or litigation matters.
- Conduct regular branch audits/inspections to verify adherence to operational, KYC/AML, and SEBI norms.
- Monitor record-keeping practices, data privacy protocols, and timely reporting of client trades.
- Identify and report non-compliance or process gaps in branches and assist in remedial action plans.
- Verify client interaction logs, complaint registers, POAs, ledger reconciliations, and contract notes issuance.

Pay: ₹12,000.00 - ₹14,000.00 per month

Advantages:

- Provident Fund

Work Location: In person

📌 Compliance Executive (India)
🏢 RAGHUNANDAN MONEY
📍 India