Compliance Executive

R. Wadiwala Securities Pvt. Ltd. is looking for a Compliance Executive to join our team at Limda Chowk, Surat.

Eligibility:Pursuing CS ( preferred) / completed CS / MBA / Law Graduates Application invited from both, Fresher & Experienced candidates

Salary

Fresher - ₹2,75,000-3,00,000 PA + Loyalty Bonus

Relevant Experience - ₹3,00,000-6,00,000 PA + (may consider Loyalty Bonus depending on the terms)

Timing

9:30 AM – 6:30 PM; Saturday 10:00 AM to 3:00 PM

Key Responsibilities

Compliance reporting to SEBI, Exchanges & Auditors

All Regulatory compliance, documentation & correspondence

Compliance tracking & due diligence

SCORES alerts & NISM certifications

AML, compliance & governance policies

Regulatory updates & impact analysis

Support inspections (Broking / DP / PMS)

Compliance guidance to stakeholders

Perks

Leaves + Holidays | Annual Appraisal | Growth Opportunities as working location is HO

Apply Now

hrd@rwadiwala.com9978161049

Brief Company Description

We are a full-service financial services firm offering equity broking and depository services, along with distribution of mutual funds, PMS, and investment advisory solutions. With a strong presence across more than 70 locations, we operate through a robust network of 110 franchisee partners and a dedicated team of over 125 professionals.

We serve a diverse client base of 50,000+ customers spread across the globe, providing them with reliable execution, research-backed advice, and personalized service. The firm currently manages assets under custody exceeding ₹7,000 crore, reflecting the trust and confidence placed in us by our clients.

Job Types

Full-time, Fresher

Pay

₹300,000.00 - ₹600,000.00 per year

Benefits

Health insurance

Leave encashment

Paid sick time

Provident Fund

Work Location

In person