We're Hiring | Compliance Executive
📍 Location: Mumbai (On-site)

NNM Securities Pvt. Ltd. is looking for a dedicated Compliance Executive to join our growing team. If you're passionate about regulatory compliance, governance, and building a career in the financial services industry, we'd love to hear from you!

About NNM

NNM Securities is a distinguished stock brokerage firm and a registered member of BSE, NSE, MCX, NCDEX, and CDSL, delivering comprehensive trading, depository, and investment solutions to both retail and institutional clients across India. With a strong commitment to integrity, regulatory compliance, and client-centric excellence, the firm strives to uphold the highest standards of professionalism within the financial services ecosystem.

The Compliance Executive will safeguard regulatory integrity by overseeing adherence frameworks, mitigating compliance risks, and liaising with regulators. The role ensures that all organizational activities remain impeccably aligned with the directives of Reserve Bank of India, Securities and Exchange Board of India, and applicable stock exchange regulations—upholding the highest standards of governance and accountability.

A distinctive opportunity to grow where precision meets purpose

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 exchanges
• Support implementation of new regulatory changes
• Audit & inspection related work- exchange/sebi
• Prepare and submit regulatory filings, reports, and returns within stipulated timelines
• Interpret new regulations and assess their impact on business operation
• Also acquiring a compliance NISM certification within 4 months of joining

Qualifications & Skills

• Qualified/Semi-qualified candidates
• Knowledge of SEBI/RBI regulations and compliance frameworks
• Strong analytical and documentation skills
• Excellent communication and coordination abilities
• Freshers with interest in compliance may apply

How to Apply

• ✉️ Interested candidates can share their CV at: hr@cokaco.com

Footer Contact Information

• Consultancy | Advisory | Business Structuring | Fund Raising | Financial Service | Compliance
• 🌐 Websites: nnmsecurities.com | cokaco.com
• 📞 Phone: 022-40790011/21

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