Assistant Compliance Manager

Intellectual Capital HR Consulting Pvt. Ltd.; Ahmedabad District; On-site; INR 900,000 - 1,300,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd.

in Ahmedabad seeks a compliance professional to oversee adherence to SEBI regulations and related circulars, ensuring the broker's operations align with statutory requirements. The role involves drafting, vetting, reviewing and negotiating legal documents, such as SOPs and regulatory policy frameworks, and coordinating with stock exchanges, SEBI, clearing corporations and depositories to address notices and inspections.

Qualifications

• To ensure compliance with SEBI regulations and circulars applicable to stock brokers.
• Draft, vet, review and negotiate legal documents such as SOPs and regulatory policy frameworks.
• Liaise with Stock Exchanges, SEBI, Depositories and Clearing Corporations during audits/inspections.

Job description

Role & responsibilities

Key Responsibilities:

• 1. To ensure the compliance with the following regulations:
  • SEBI (Stock-Brokers) Regulations, 1992 and circulars/ notifications issued thereunder.
  • SEBI (Non-Convertible Securities) Regulations, 2021 to the extent it is applicable to the functioning and operations of Stock-Brokers
  • SEBI (Intermediaries) Regulations, 2008
  • Prevention of Money Laundering Act, 2002, as applicable for SEBI Registered Intermediaries.
  • SEBI LODR
• 2. Drafting, vetting, reviewing and negotiating the legal documents such as:
  • Standard Operating Procedures
  • Regulatory Policy framework
  • Website updations with respect to Regulatory requirement, Disclaimers etc.
  • Regulatory show cause notices, adhoc queries, and inspection notices.
• 3. Further Responsibilities:
  • To ensure compliance with circulars, notifications, guidelines issued by the stock exchanges from time to time.
  • To discuss impact analysis of applicable regulatory framework with the management, prepare and implement compliance calendar etc.
  • Experience of handling internal, statutory audits & inspection from Stock Exchanges and SEBI.
  • To liaison with the Stock Exchanges, Clearing Corporations, SEBI and Depositories.