Compliance Executive

Nonagon Executive Research

Designation: Senior Executive/Assistant Manager Compliance

Reporting: AVP Compliance & Legal

Broad Roles & Responsibilities:

1. Assist in ensuring compliances of SEBI regulations including but not limited to SEBI

(Investment Advisor) Regulations, SEBI (Insider Trading) Regulations, SEBI (Research

Analysts) Regulations, Mutual Fund distribution license.

2. Assist in drafting of company level policies/SOPs such as Code of Conduct, Conflict of

Interest, Anti Money Laundering, Outsourcing of activities etc.

3. Implement the policies, compliance manual etc. throughout the organization.

4. Ensuing the compliances with regards to Know Your Client norms and PMLA

5. Carry out internal compliance audit of core functions.

6. Supporting the Internal Audit and Compliance Audit function

7. Assist/provide training on compliance matters to the relevant stakeholders within the

organization

8. Handling/supporting in matters related to Investor Grievance

9. Maintaining audit trail, repository of all communication

10. Keep abreast of regulatory developments within or outside of the company as well as

evolving best practices in compliance control.

11. Regularly assess the efficiency of control systems and recommend effective improvements.

12. Review and evaluate company procedures and reports to identify hidden risks or common

issues.

Requirements:

1. Bachelors degree

2. Experience of 1-2 years in handling compliances with SEBI intermediaries such as investment

advisor, stockbroker, mutual fund distributor etc.

3. Good communication and interpersonal skills

4. An analytical mindset with excellent organizational skills

5. NISM certification would be an added advantage.

Experience : 1 - 3 Years

No. of Openings : 2

Education : Any Bachelor Degree, B.Com, LLB

Role : Compliance Executive

Industry Type : Banking / Financial Services / Stock Broking

Gender : [ Male / Female ]

Job Country : India