Compliance Executive (Uttar Pradesh)

Compliance Executive (Uttar Pradesh)

08 Aug
|
RAGHUNANDAN MONEY
|
Uttar Pradesh

08 Aug

RAGHUNANDAN MONEY

Uttar Pradesh

Monitor and ensure compliance with regulatory requirements SEBI NSE BSE RBI IRDA or other applicable regulators Ability to draft and respond to Exchanges SEBI queries circulars and notices in a transparent and professional manner Strong understanding of all mandatory compliance requirements and capability to ensure timely adherence Skilled in preparing verifying and submitting inspection audit data and compliance reports to the exchange regulators Ability to draft internal compliance policies SOPs and agreements to support the compliance framework Review and implement company policies procedures and internal controls Assist in preparing and submitting compliance reports regulatory filings and disclosures Conduct periodic audits inspections and compliance checks across departments Identify potential risks and provide recommendations for corrective actions Maintain up-to-date knowledge of relevant laws regulations and guidelines Handle regulatory queries inspections and correspondence with authorities Ensure employee awareness and training on compliance requirements and ethical standards Support in drafting compliance manuals policies and standard operating procedures SOPs Investigate non-compliance issues and assist in corrective and preventive actions Job Type Full-time Pay 30 000 00 - 40 000 00 per month Work Location In person

📌 Compliance Executive (Uttar Pradesh)
🏢 RAGHUNANDAN MONEY
📍 Uttar Pradesh

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