Compliance Executive

About the Role

NNM Securities Pvt. Ltd., located in Mumbai, is seeking a Compliance Executive dedicated to upholding regulatory compliance and governance within the financial services sector. This is an on-site full-time position offering an opportunity to develop a rewarding career in compliance.

Key Responsibilities

• Address compliance inquiries and handle internal requests efficiently.
• Monitor adherence to regulations across various departments.
• Identify potential compliance risks and manage them proactively.
• Coordinate and report any compliance breaches promptly.
• Maintain communication and coordination with regulators and stock exchanges.
• Support the implementation of new regulatory requirements.
• Assist in audits and inspections conducted by SEBI and stock exchanges.
• Prepare and file regulatory documents, reports, and returns within specified deadlines.
• Interpret new regulations and evaluate their impact on company operations.
• Obtain the NISM Compliance Certification within four months of joining.

Qualifications and Skills Required

• Candidates who are qualified or semi-qualified in relevant fields.
• Sound understanding of SEBI, RBI regulations, and compliance frameworks.
• Strong analytical ability along with excellent documentation skills.
• Effective communication and coordination talents.
• Fresh graduates with enthusiasm for compliance are welcome to apply.

Additional Information

This role involves working in a professional environment that values precision and purpose, providing prospective employees with career growth opportunities in the financial regulatory domain.