Compliance Executive

Raghunandan Capital; Agra District; On-site; INR 800,000 - 1,400,000; Full time

Job summary

Raghunandan Capital in India seeks a Compliance Officer to ensure adherence to SEBI, NSE, BSE and other regulators. You will oversee daily compliance, client onboarding and KYC checks, and maintain necessary registers.

The role requires coordinating with internal teams, supporting audits and inspections, tracking deadlines, and drafting policies and procedures to mitigate regulatory risk. Familiarity with regulatory alerts and timely filings is essential for success.

Responsibilities

• Ensure compliance with regulatory guidelines issued by SEBI, NSE, BSE, and other regulatory authorities.
• Prepare and submit periodic compliance reports to regulators within defined timelines.
• Maintain statutory registers, records, and compliance documentation.
• Monitor daily compliance activities including client onboarding and KYC verification.
• Ensure adherence to internal policies and regulatory frameworks.
• Coordinate with internal departments for compliance-related requirements.
• Assist in handling regulatory inspections, internal audits, and external audits.
• Monitor compliance alerts and circulars issued by regulatory bodies.
• Maintain records of regulatory filings, licenses, and approvals.
• Track due dates for regulatory submissions and ensure timely completion.
• Assist in drafting compliance policies, SOPs, and procedures.
• Identify compliance risks and recommend corrective actions.

Skills

Regulatory compliance

KYC

Audit coordination

Job description

• -Ensure compliance with regulatory guidelines issued by SEBI, NSE, BSE, and other regulatory authorities.
• -Prepare and submit periodic compliance reports to regulators within defined timelines.
• -Maintain statutory registers, records, and compliance documentation.
• -Monitor daily compliance activities including client onboarding and KYC verification.
• -Ensure adherence to internal policies and regulatory frameworks.
• -Coordinate with internal departments for compliance-related requirements.
• -Assist in handling regulatory inspections, internal audits, and external audits.
• -Monitor compliance alerts and circulars issued by regulatory bodies.
• -Maintain records of regulatory filings, licenses, and approvals.
• -Track due dates for regulatory submissions and ensure timely completion.
• -Assist in drafting compliance policies, SOPs, and procedures.
• -Identify compliance risks and recommend corrective actions.