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 Agra
🏢 RAGHUNANDAN MONEY
📍 Agra