Z-1185 | Compliance Executive.

SEBI compliance is necessary.

Equity Trading.

Role and Responsibilities 

• Operates as the point of contact for assigned customers
• Develops and maintains long-term relationships with accounts
• Makes sure clients receive requested products and servicees in a timely fashion
• Communicates client needs and demands to employer company
• Forecasts and tracks client account metrics
• Manage projects within client relationships, working to carry out client goals while meeting company goals
• Identifies opportunities to grow business with existing clients
• Coordinate with staff members working on the same account to ensure consistent service
• Collaborates with sales team to reach prospective clients
• Service multiple clients concurrently, often meeting deadlines
• Keep records of client transactions
• Conducting compliance risk assessment training workshops
• Conducting internal reviews and audits
• Conducting environmental audits to ensure the company meets environmental requirements
• Advising internal management and business partners on the implementation of compliance programs
• Developing risk management strategies
• Following up on compliance issues that require investigation
• Evaluating compliance systems and ensuring adequate software is in place
• Reporting on compliance