Compliance Executive
NNM Securities Pvt Ltd.
Mumbai, Maharashtra, IndiaFresher57m agovia LinkedIn
About the Role
NNM Securities Pvt. Ltd. is looking for a dedicated Compliance Executive to join its growing team. This role is focused on regulatory compliance, governance, and building a career in the financial services industry.
Key Responsibilities
- Handle compliance queries and internal requests
- Monitor regulatory adherence across departments
- Identify and manage compliance risks
- Coordinate reporting of compliance violations
- Liaise with regulators and stock exchanges
- Support implementation of new regulatory changes
- Assist in audits and inspections related to SEBI/Stock Exchanges
- Prepare and submit regulatory filings, reports, and returns within timelines
- Interpret new regulations and assess their impact on business operations
Requirements & Tech Stack
- Location: Mumbai (On-site)
- Obtain the required NISM Compliance Certification within 4 months of joining
Qualifications
- Qualified/Semi-qualified candidates
- Knowledge of SEBI/RBI regulations and compliance frameworks
- Strong analytical and documentation skills
- Excellent communication and coordination abilities
- Freshers with a keen interest in compliance are encouraged to apply