Assistant Compliance Manager

Intellectual Capital HR Consulting Pvt. Ltd.; Jaipur; On-site; INR 900,000 - 1,500,000; Part time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a compliance-focused professional to oversee regulatory adherence and document governance in Jaipur, India.

The role involves ensuring compliance with SEBI regulations, preparing and reviewing regulatory documents, and coordinating with stock exchanges and SEBI. The ideal candidate will have experience in drafting and negotiating SOPs, policy frameworks, and handling regulatory inquiries, audits, and inspections.

Responsibilities

• To ensure compliance with SEBI regulations (Stock-Brokers, Intermediaries, LODR) and AML provisions as applicable.
• Drafting, vetting, reviewing and negotiating legal documents and regulatory policies.
• Liaising with Stock Exchanges, Clearing Corporations, SEBI and Depositories; addressing show-cause notices and inspections.

Skills

Regulatory compliance

Legal drafting

Internal audits

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.