Compliance Executive (Agra)

Compliance Executive (Agra)

02 Sep
|
Raghunandan Capital
|
Agra

02 Sep

Raghunandan Capital

Agra

-Ensure compliance with regulatory guidelines issued by SEBI, NSE, BSE, and other regulatory authorities.

-Prepare and submit periodic compliance reports to regulators within defined timelines.

-Maintain statutory registers, records, and compliance documentation.

-Monitor daily compliance activities including client onboarding and KYC verification.

-Ensure adherence to internal policies and regulatory frameworks.

-Coordinate with internal departments for compliance-related requirements.

-Assist in handling regulatory inspections, internal audits, and external audits.

-Monitor compliance alerts and circulars issued by regulatory bodies.

-Maintain records of regulatory filings, licenses, and approvals.

-Track due dates for regulatory submissions and ensure timely completion.

-Assist in drafting compliance policies, SOPs, and procedures.

-Identify compliance risks and recommend corrective actions.

📌 Compliance Executive (Agra)
🏢 Raghunandan Capital
📍 Agra

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