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.

4. 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.

6. 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.