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Posted on 29 Jul, 2026
In Office
Job Description | Responsibilities
- Monitor brokerage operations to ensure compliance with regulatory requirements and company policies.
- Review client documentation, transactions, and records for accuracy and regulatory adherence.
- Conduct compliance checks, identify risks, and support corrective action implementation.
- Coordinate with internal teams to resolve compliance issues and maintain audit readiness.
- Prepare compliance reports and maintain accurate documentation for regulatory reviews.
Overview
- Industry - ITES / BPO / KPO / OUTSOURCING / CUSTOMER SERVICE / CALL CENTER / OPERATIONS
- Job Role - Brokerage Compliance Executive
- Employment type - Full Time - Permanent
- Work Mode - In Office
Qualifications
- Any Graduate - Any Specialization
- Any Post Graduate - Any Specialization
- Any Doctorate - Any Specialization
Job Related Keywords
Brokerage Compliance
Regulatory Compliance
Risk Management
KYC
AML
Audit
Documentation
Financial Services
Compliance Monitoring