Job Description
We are looking for a Compliance Executive to ensure that our operations and business transactions follow all relevant legal and internal rules. You will also review employees’ work and provide advice on compliance. To succeed in this role, you should be a reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with risk management and our industry’s standards. If you also have a sharp business acumen, we’d like to meet you. Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.
- • Responsible for company affairs.
- • Represent company in legal matters.
- • Provide legal and compliance perspectives to business.
- • Managing compliance aspects.
- • Information memorandum.
- • SEBI / BSE / NSE guidelines.
- • Company law issuance.
- • Compliance management.
- • Periodic submission to the broking and DP compliance and operation team.
- • Provide support primarily on regulatory compliance - covering Banking, Lending/NBFC, Investment Advisory/ Portfolio Management, Stock Broking Regulations (guidelines/ circulars/ notifications) as well as secondary support on Financial Crime Compliance (AML, Sanctions, etc.) matters
- • Program manage various audits (including regulatory audits), work with the team for remediation efforts and liaise with Auditors, Regulators and External Consultants in that regards
- Drafting compliance policy
