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. • Coordinate with internal departments to ensure timely data submission and adherence to reg...