Job Role: Compliance Executive
Industry: Stock Market / Stock Broking / Financial Services

Key Responsibilities:
Ensure compliance with SEBI, NSE, BSE, MCX, CDSL, NSDL and other applicable regulatory requirements.
Monitor and implement SEBI and Exchange circulars, rules and guidelines.
Maintain and update compliance records, registers, reports and documentation.
Assist in daily compliance checks of trading and operational activities.
Monitor client-related compliance, including KYC, AML, PMLA and client documentation.
Coordinate with RMS, Operations, Trading, Accounts and Dealing departments for compliance-related matters.
Check compliance of client onboarding, account opening, trading limits and transactions.
Prepare and submit periodic regulatory reports and returns to exchanges and regulators within prescribed timelines.
Monitor trade surveillance and suspicious/unusual transactions and escalate issues to the Compliance Officer.
Assist in handling exchange queries, inspections, audits and regulatory notices.
Maintain records of complaints and grievance resolution.




Ensure proper compliance with investor protection and client fund/securities-related requirements.
Conduct internal compliance reviews and identify areas of non-compliance.
Follow up with concerned departments for rectification and closure of compliance observations.
Maintain confidentiality of client and company information.

Required Skills:
Knowledge of Stock Market, Equity, Derivatives, Commodity and Capital Market operations.
Basic understanding of SEBI and Stock Exchange regulations.
Positive knowledge of MS Excel and documentation.
Strong analytical and communication skills.
Attention to detail and ability to work within regulatory deadlines.
Experience with stock broking compliance/RMS/operations will be preferred.

Qualification: Graduate in Commerce, Finance, Law, Management or related field.
Experience: 1–5 years in stock broking, capital market or financial services compliance preferred.

Pay: ₹22,000.00 - ₹30,000.00 per month

Perks:
Versatile schedule

Work Location: In person

📌 Compliance Executive Mulund West
🏢 Rikhav Securities
📍 Mulund West