Compliance Executive

Milestone Career Planner; Ernakulam; On-site; INR 300,000 - 540,000; Full time

Job summary

Milestone Career Planner is seeking a Compliance Executive with experience in regulatory compliance, audits, KYC, and coordination with SEBI, Stock Exchanges, and depositories. The role requires strong communication and the ability to manage compliance tasks within deadlines.

You will liaise with SEBI and exchanges, prepare and submit filings, monitor KYC, and support secretarial filings with the Company Secretary. Knowledge of stock broking/DP compliance is a plus.

Qualifications

• 6 months–1 year of relevant compliance experience.
• Experience dealing with SEBI, exchanges or depositories preferred.
• Knowledge of stock broking/DP compliance is an advantage.
• Strong verbal and written communication skills.
• Proficient in MS Office and internet applications.
• Ability to work under pressure and meet deadlines.
• Willingness to learn and grow professionally.

Responsibilities

• Liaise with SEBI, Stock Exchanges, and depositories.
• Handle regulatory inspections and internal audits.
• Prepare and submit periodic compliance filings and enhanced supervision data.
• Monitor KYC compliance and investor complaints.
• Prepare and maintain compliance reports, MIS, policies, and procedures.
• Review and implement new regulatory guidelines.
• Handle Authorised Person (AP) registration and compliance.
• Coordinate with the Company Secretary for secretarial filings.
• Review and update company forms and internal compliance documents.
• Coordinate regulatory approvals and other compliance-related activities.

Skills

Communication skills

MS Office proficiency

Deadline-driven

Willingness to learn

Job description

We are looking for a Compliance Executive with relevant experience in regulatory compliance, audits, KYC, and coordination with SEBI, Stock Exchanges, and depositories. The candidate should have good communication skills and the ability to manage compliance activities within deadlines.

Responsibilities

• Liaise with SEBI, Stock Exchanges, and depositories.
• Handle regulatory inspections and internal audits.
• Prepare and submit periodic compliance filings and enhanced supervision data.
• Monitor KYC compliance and handle investor complaints.
• Prepare and maintain compliance reports, MIS, policies, and procedures.
• Review and implement new regulatory guidelines.
• Handle Authorised Person (AP) registration and compliance.
• Coordinate with the Company Secretary for secretarial filings.
• Review and update company forms and internal compliance documents.
• Coordinate regulatory approvals and other compliance-related activities.

Requirements

• 6 months–1 year of relevant compliance experience
• in dealing with SEBI, Exchanges, or depositories is preferred.
• Knowledge of stock broking/DP compliance is an advantage.
• Good verbal and written communication skills.
• Good knowledge of MS Office and internet applications.
• Ability to work under pressure and meet deadlines.
• Willingness to learn and grow.