Assistant Compliance Manager

Intellectual Capital HR Consulting Pvt. Ltd.; Chandigarh; On-site; INR 600,000 - 1,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Chandigarh is seeking a regulatory compliance professional to ensure adherence to SEBI regulations and related AML obligations for stock-broker operations. The role involves drafting and vetting regulatory documents, and coordinating audits and regulatory responses.

You will liaise with exchanges, SEBI, and depositories, and develop a compliance calendar in line with circulars and notices from time to time.

Qualifications

• Must understand SEBI regulations and AML requirements.
• Experience drafting and vetting regulatory documents.
• Ability to interact with stock exchanges and regulators.
• Experience coordinating internal and statutory audits.

Responsibilities

• Ensure compliance with SEBI regulations: Stock-Brokers 1992, 2021 rules, Intermediaries 2008, PMLA 2002, SEBI LODR.
• Draft, vet and review legal documents including SOPs, regulatory policies, website disclosures, and notices.
• Discuss impact analyses with management and implement a regulatory compliance calendar.
• Liaise with Stock Exchanges, Clearing Corporations, SEBI and Depositories; manage audits/inspections.

Skills

Regulatory compliance

Legal drafting

Regulatory liaison

Audit coordination

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.