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Compliance Executive

Position: Compliance Executive

Company: Latin Manharlal Group

Department: Compliance

Location: Mumbai

Reporting To: Compliance Officer / Head – Compliance

About Latin Manharlal Group

Latin Manharlal Group is a trusted name in the financial services industry, offering Stock Broking, Depository Services, Wealth Management, Mutual Funds, IPOs, Insurance, and other investment solutions. We are committed to maintaining the highest standards of regulatory compliance, ethics, and governance while delivering exceptional service to our clients.

Job Summary

We are looking for a detail-oriented and proactive Compliance Executive to support the Compliance Department in ensuring adherence to SEBI, NSE, BSE, CDSL, NSDL, FIU-IND, Prevention of Money Laundering (PMLA), and other applicable regulatory requirements. The ideal candidate should possess sound knowledge of regulatory guidelines, compliance reporting, documentation, and internal controls within the capital markets ecosystem.

Key Responsibilities

- Ensure compliance with SEBI, NSE, BSE, CDSL, NSDL, PMLA, and other applicable regulatory requirements.
- Prepare and submit periodic compliance reports and regulatory filings within prescribed timelines.
- Monitor regulatory circulars, notifications, and amendments, and assist in implementing necessary changes.
- Conduct periodic compliance checks, audits, and internal reviews.
- Maintain statutory registers, compliance records, and regulatory documentation.
- Coordinate with exchanges, depositories, auditors, and regulatory authorities for compliance-related matters.
- Review client KYC, account opening documents, and AML compliance.
- Assist in handling inspection and audit observations and ensure timely closure.




- Support implementation and monitoring of internal compliance policies and SOPs.
- Track compliance deadlines and maintain regulatory calendars.
- Assist in employee compliance training and awareness programs.
- Prepare MIS reports and compliance dashboards for management.

Qualifications
- Bachelor's degree in Commerce, Finance, Law, Business Administration, or a related field.
- Additional certifications such as NISM, LLB, CS (Inter), or Compliance-related qualifications will be an added advantage.

Experience
- 1–3 years of experience in Compliance, Risk, Operations, or Regulatory functions within a Stock Broking, Depository Participant, Financial Services, or Capital Markets organization.
- Freshers with relevant certifications and strong regulatory knowledge may also be considered.

Required Skills
- Working knowledge of SEBI, NSE, BSE, CDSL, NSDL, PMLA, and KYC regulations.
- Robust analytical and problem-solving abilities.
- Excellent documentation and report-writing skills.
- High attention to detail and accuracy.
- Proficiency in MS Excel, Word, and Outlook.
- Good communication and interpersonal skills.
- Ability to manage multiple tasks and meet strict regulatory timelines.
- Strong integrity, ethics, and confidentiality.

Preferred Attributes
- Self-motivated and proactive.
- Ability to work under pressure and within regulatory deadlines.
- Strong organizational and coordination skills.
- Team player with a professional and positive attitude.

Why Join Latin Manharlal Group?
- Opportunity to work with one of the established names in the financial services industry.
- Exposure to diverse capital market products and regulatory frameworks.
- Continuous learning and professional development.
- Collaborative and growth-oriented work environment.
- Competitive compensation and career advancement opportunities.

📌 Compliance Executive (Mumbai)
🏢 Latin Manharlal
📍 Mumbai