Compliance Executive

Latin Manharlal; Mumbai; On-site; INR 600,000 - 1,200,000; Full time

Benefits offered by this job

Exposure to capital markets

Professional development

Regulatory knowledge growth

Competitive compensation

Job summary

Latin Manharlal is seeking a Compliance Specialist to ensure adherence to SEBI, NSE, BSE, CDSL, NSDL, PMLA, and related regulations. You will prepare periodic filings, review client KYC and AML processes, and coordinate with exchanges and regulators.

The role involves monitoring circulars, audits, maintaining statutory registers, producing MIS dashboards for management, and training staff on regulatory requirements.

Qualifications

• Bachelor's degree in Commerce, Finance, Law, or related field.
• Certifications such as NISM, LLB, CS (Inter) or related compliance qualifications are advantageous.
• 1–3 years of experience in Compliance, Risk, Operations, or Regulatory roles within financial services or capital markets.
• Freshers with relevant certifications and regulatory knowledge may be considered.
• 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 confidentiality.
• Proficiency in MS Excel, Word, and Outlook.
• Good communication and interpersonal skills.
• Ability to manage multiple tasks and meet strict regulatory timelines.
• Strong integrity and ethics; team player with a professional attitude.

Responsibilities

• Ensure compliance with SEBI, NSE, BSE, CDSL, NSDL, and PMLA across activities.
• Prepare and submit periodic regulatory filings within deadlines.
• Monitor circulars and implement required changes.
• Conduct periodic compliance checks and internal reviews.
• Maintain statutory registers and regulatory documentation.
• Coordinate with exchanges, depositories, auditors, and regulators.
• Review client KYC and AML compliance.
• Assist in handling inspection observations and closure.
• Support implementation and monitoring of internal policies and SOPs.
• Track deadlines and maintain regulatory calendars.
• Assist in employee compliance training and awareness.

Skills

Regulatory knowledge

Analytical thinking

Report writing

Communication skills

Attention to detail

Multi-tasking

Ethics & confidentiality

Team player

Proactive

Education

Bachelor's degree in Commerce

Bachelor's degree in Finance

Bachelor's degree in Law

Bachelor's degree in Business Administration

NISM certification

LLB

CS (Inter)

Compliance certifications

Tools

MS Excel

MS Word

MS Outlook

Job description

• 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.
• 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.