Assistant Compliance Manager

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

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Gurugram seeks a Compliance & Legal Affairs professional to oversee regulatory compliance for listed entities. You will draft, vet and negotiate SOPs, policy frameworks, disclosures, and notices, while coordinating with SEBI, stock exchanges, and depositories.

Experience with audits and compliance calendars is preferred to manage regulatory obligations and timely responses to inspections.

Qualifications

• Regulatory compliance for SEBI, stock brokers, and related acts.
• Drafting, vetting and negotiating SOPs, policy frameworks and disclosures.
• Coordination with stock exchanges, SEBI, and depositories; handling audits.

Responsibilities

• Ensure compliance with SEBI regulations and LODR from time to time.
• Draft, vet and negotiate SOPs, regulatory policy documents and website disclosures.
• Coordinate with exchanges, SEBI, depositories; support internal statutory audits and inspections.

Skills

Regulatory compliance

Legal drafting

Audit coordination

Stakeholder liaison

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.