Key Responsibilities
- Prepare and file regulatory returns on a daily, weekly, monthly, quarterly, half-yearly, and annual basis.
- Monitor the creation and management of CTCL IDs and user IDs; maintain accurate records.
- Compiling the data / compliance for internal audits, coordinating with auditors, and ensuring timely submission of required information.
- Compile and maintain data required for inspections and regulatory audit.
- Manage and track investor grievance data, coordinate with internal teams for timely resolution.
- Monitor updates/circulars from SEBI, NSE, BSE, MCX, NCDEX, and CDSL, and ensure timely implementation.
- Coordinate with internal departments for data/information compilation.
- Maintain a compliance calendar and send alerts/reminders for regulatory deadlines. Have Qualifications
- Graduate (B.
Com, BBA, MBA preferred)
- Basic understanding of stock broking and Depository Participant (DP) operations
- Proficiency in MS Excel (including VLOOKUP, Pivot Tables, and reporting tools)
- Valuable written and verbal communication skills in English Good to Have
- 1-2 years of experience in broking or DP back-office operations
- Exposure to exchange portals and/or back-office systems

📌 Compliance Executive (Ahmedabad)
🏢 kunvarji
📍 Ahmedabad