Job Summary:
The Compliance Executive will be responsible for ensuring adherence to SEBI, Exchange, and
Depository regulations applicable to broking operations. The role involves coordination for
various regulatory filings, review of agreements and advertisements, and maintaining
effective compliance processes. The incumbent must possess strong analytical and
interpretational skills to understand and implement regulatory circulars and updates.
Key Responsibilities:
• Ensure compliance with SEBI, Stock Exchange, and Depository regulations applicable
to broking operations.
• Understand, interpret, and implement regulatory circulars, notifications, and
guidelines issued by SEBI, Exchanges, and Depositories.
• Prepare, review, and submit periodic compliance reports, filings, and disclosures to
SEBI, Exchanges, and Depositories.
• Maintain and update compliance registers, reports, and documentation.
• Coordinate with internal departments to ensure t...