Compliance

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.<...