Assistant Compliance Manager

Intellectual Capital HR Consulting Pvt. Ltd.; Mumbai; On-site; INR 700,000 - 1,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a compliance professional to ensure adherence to SEBI regulations for stock-brokers and related frameworks.

The role involves drafting and vetting SOPs, regulatory policy documents, and website disclosures in line with regulatory requirements. Additionally, you will manage regulatory show-cause notices, coordinate with stock exchanges, SEBI, and depositories, and support internal and external audits and inspections as part of a robust

Responsibilities

• Ensure compliance with SEBI Regulations (Stock-Brokers Regulations 1992 and related circulars) and SEBI LODR, plus applicable AML requirements.
• Draft, vet, review and negotiate legal documents: SOPs, regulatory policy framework, website updates with regulatory disclosures, show cause notices and inspection notices.
• Coordinate with stock exchanges, clearing corporations, SEBI and depositories; discuss impact analyses and implement compliance calendar; assist internal and statutory audits and 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.