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Job Description: Senior Compliance ExecutiveRole OverviewThe Senior Compliance Executive will support the Compliance Officer in ensuring that the company adheres to all regulatory requirements prescribed by SEBI, stock exchanges (NSE/BSE), and other regulatory authorities. The role involves assisting in regulatory reporting, monitoring compliance activities, handling fund-related compliances, and reviewing marketing and communication materials to ensure adherence to exchange and regulatory guidelines.Key Responsibilities1. Regulatory Compliance SupportAssist in ensuring compliance with SEBI regulations, stock exchange rules, and other applicable regulatory requirements.Track regulatory updates and support in implementing necessary changes in internal processes and policies.Maintain compliance records, registers, and documentation as required by regulators.2. Compliance Monitoring & ReportingAssist in preparation and submission of regulatory reports to stock exchanges and other authorities.Support internal compliance audits and periodic compliance checks.Maintain documentation related to regulatory filings, circulars, and compliance reports.3. Fund Related ComplianceAssist in handling compliance related to investment funds, PMS, or other managed products (where applicable).Ensure regulatory requirements related to fund operations, disclosures, and reporting are properly maintained.Coordinate with internal teams to ensure adherence to guidelines related to fund activities.4. Marketing & Communication ComplianceReview marketing materials, advertisements, social media posts, client communication, and promotional content to ensure compliance with SEBI and exchange guidelines.Ensure that all marketing communications follow regulatory standards and include required disclosures.Guide internal teams on what type of marketing content is permitted under exchange and regulatory regulations.5. Internal Compliance & Process MonitoringAssist in implementation of internal compliance policies, SOPs, and operational guidelines.Ensure that employees follow regulatory and internal compliance procedures.Support compliance training and awareness initiatives for employees.6. Coordination with Internal TeamsWork closely with operations, sales, marketing, and technology teams to ensure regulatory compliance in business activities.Escalate any potential compliance issues or regulatory risks to the Compliance Officer.Qualifications & Skills RequiredEducation: LLB / CS / CA Inter / MBA (Finance) or relevant qualification in compliance or finance.Experience: 2–5 years of experience in compliance, preferably in the broking, PMS, or financial services industry.Knowledge: Basic understanding of SEBI regulations, stock exchange guidelines, and financial market compliance requirements.Skills:Understanding of regulatory and exchange guidelines.Knowledge of marketing communication compliance in financial services.Good analytical and documentation skills.Strong coordination and communication abilities.Attention to detail and regulatory awareness.