Compliance Executive
Location
Mumbai
Job Type
Full Time
Experience
1-3 years
Key Responsibilities
- Ensure compliance with SEBI, NSE, BSE, CDSL, NSDL, PMLA, and other applicable regulatory requirements.
- Prepare and submit periodic compliance reports and regulatory filings within prescribed timelines.
- Monitor regulatory circulars, notifications, and amendments, and assist in implementing necessary changes.
- Conduct periodic compliance checks, audits, and internal reviews.
- Maintain statutory registers, compliance records, and regulatory documentation.
- Coordinate with exchanges, depositories, auditors, and regulatory authorities for compliance-related matters.
- Review client KYC, account opening documents, and AML compliance.
- Assist in handling inspection and audit observations and ensure timely closure.
- Support implementation and monitoring of internal compliance policies and SOPs.
- Track compliance deadlines and maintain regulatory calendars.
- Assist in employee compliance training and awareness programs.
- Prepare MIS reports and compliance dashboards for management.
Required Skills & Qualifications
- Qualifications: Bachelor's degree in Commerce, Finance, Law, Business Administration, or a related field.
- Additional certifications such as NISM, LLB, CS (Inter), or Compliance-related qualifications will be an added advantage.
- Experience: 1–3 years of experience in Compliance, Risk, Operations, or Regulatory functions within a Stock Broking, Depository Participant, Financial Services, or Capital Markets organization.
- Freshers with relevant certifications and strong regulatory knowledge may also be considered.
Key Competencies
- Working knowledge of SEBI, NSE, BSE, CDSL, NSDL, PMLA, and KYC regulations.
- Strong analytical and problem-solving abilities.
- Excellent documentation and report-writing skills.
- High attention to detail and accuracy.
- Proficiency in MS Excel, Word, and Outlook.
- Good communication and interpersonal skills.
- Ability to manage multiple tasks and meet strict regulatory timelines.
- Strong integrity, ethics, and confidentiality.
- Preferred Attributes
- Self-motivated and proactive.
- Ability to work under pressure and within regulatory deadlines.
- Strong organizational and coordination skills.
- Team player with a professional and positive attitude.
Why Join LM
- Opportunity to work with one of the established names in the financial services industry.
- Exposure to diverse capital market products and regulatory frameworks.
- Continuous learning and professional development.
- Collaborative and growth-oriented work environment.
- Competitive compensation and career advancement opportunities.