Arham Wealth Management Private Limited
Website:
arhamwealth.com
Job details:
Company Description Arham Wealth Management Private Limited is a full-service financial firm headquartered in Surat, Gujarat, offering a wide range of investment services for traders, investors, and families seeking long-term financial security. The firm provides equity, commodities, and currency trading, IPO investment support, mutual funds and SIPs, insurance advisory, and depository services as a registered DP with CDSL. As proud members of BSE, NSE, MCX, and NCDEX, Arham Wealth emphasizes credibility, transparency, and strict regulatory compliance. Trusted by thousands of clients, the company focuses on personalized wealth management strategies and uses modern platforms to deliver a seamless investment experience. Founded by Kirit Shah, an engineer and seasoned investor, Arham Wealth has become a respected name in Gujarat and beyond.
Role Description The Compliance Executive is a full-time, on-site role based in Surat, responsible for overseeing and maintaining regulatory compliance across all business activities. This role includes monitoring adherence to SEBI, exchange, and DP regulations, reviewing internal processes, and ensuring timely filings, reporting, and documentation. The Compliance Executive will draft and update compliance policies, conduct periodic audits, support internal and external inspections, and maintain records for regulatory authorities. Daily tasks also involve coordinating with operations, trading, and customer service teams on compliance matters, providing guidance on new regulations, and helping mitigate legal and operational risks. The role requires proactive identification of compliance gaps, preparation of compliance reports for management, and contribution to a culture of transparency and ethical conduct.
Qualifications
- Candidates should possess strong Regulatory Compliance and Law knowledge, preferably within the securities, wealth management, or financial services sector.
- Candidates should possess solid Analytical Skills to interpret regulations, assess risk, and review reports and transactions for potential non-compliance.
- Candidates should possess effective Communication and Interpersonal Skills to collaborate with internal teams, interact with regulators, and clearly convey compliance requirements.
- Candidates should possess attention to detail, integrity, and a structured approach to documentation, record-keeping, and reporting.
- Relevant qualifications such as a degree in Law, Commerce, Finance, or related fields; certifications in compliance, securities markets, or risk management are an advantage.
- Prior experience in a compliance, regulatory, legal, or audit role in financial markets or brokerage firms is preferred.
- Proficiency with MS Office and comfort working with trading, back-office, and DP systems will be beneficial.
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