Senior Compliance Executive

Job Description: Senior Compliance Executive Role Overview The Senior Compliance Executive will support the Compliance Officer in ensuring that the company adheres to all regulatory requirements prescribed by SEBI, stock exchanges (NSE/BSE), and other regulatory authorities. The role involves assisting in regulatory reporting, monitoring compliance activities, handling fund-related compliances, and reviewing marketing and communication materials to ensure adherence to exchange and regulatory guidelines.

Key Responsibilities 1.

Regulatory Compliance

Support - Assist in ensuring compliance with SEBI regulations, stock exchange rules, and other applicable regulatory requirements.

• Track regulatory updates and support in implementing necessary changes in internal processes and policies.
• Maintain compliance records, registers, and documentation as required by regulators. 2.

Compliance

Monitoring & Reporting - Assist in preparation and submission of regulatory reports to stock exchanges and other authorities.

• Support internal compliance audits and periodic compliance checks.
• Maintain documentation related to regulatory filings, circulars, and compliance reports. 3.

Fund Related

Compliance - Assist in handling compliance related to investment funds, PMS, or other managed products (where applicable).

• Ensure regulatory requirements related to fund operations, disclosures, and reporting are properly maintained.
• Coordinate with internal teams to ensure adherence to guidelines related to fund activities.
• Marketing & Communication Compliance - Review marketing materials, advertisements, social media posts, client communication, and promotional content to ensure compliance with SEBI and exchange guidelines.
• Ensure that all marketing communications follow regulatory standards and include required disclosures.
• Guide internal teams on what type of marketing content is permitted under exchange and regulatory regulations. 5.

Internal

Compliance & Process Monitoring - Assist in implementation of internal compliance policies, SOPs, and operational guidelines.

• Ensure that employees follow regulatory and internal compliance procedures.
• Support compliance training and awareness initiatives for employees.
• Coordination with Internal Teams - Work closely with operations, sales, marketing, and technology teams to ensure regulatory compliance in business activities.
• Escalate any potential compliance issues or regulatory risks to the Compliance Officer.

Qualifications & Skills Required - Education: LLB / CS / CA Inter / MBA (Finance) or relevant qualification in compliance or finance.

• Experience: 2–5 years of experience in compliance, preferably in the broking, PMS, or financial services industry.
• Knowledge: Basic understanding of SEBI regulations, stock exchange guidelines, and financial market compliance requirements.

Skills

• Understanding of regulatory and exchange guidelines.
• Knowledge of marketing communication compliance in financial services.
• Good analytical and documentation skills.
• Strong coordination and communication abilities.
• Attention to detail and regulatory awareness.