Assistant Compliance Manager

Intellectual Capital HR Consulting Pvt. Ltd.; Nagpur District; On-site; INR 900,000 - 1,800,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. invites a compliance professional to oversee regulatory frameworks for securities market operations in Maharashtra.

The role focuses on ensuring adherence to SEBI, LODR, and AML requirements while coordinating with stock exchanges, depositories and clearing corporations. Key duties include drafting, vetting and negotiating legal documents and SOPs, performing regulatory impact analysis with management, supporting internal and statutory audits and

Qualifications

• Experience with SEBI regulations and stock exchange compliance.
• Experience drafting and vetting regulatory documents and SOPs.
• Ability to coordinate with regulators and stock exchanges.

Responsibilities

• Ensure compliance with SEBI regulations and LODR.
• Draft, vet, and negotiate legal documents such as SOPs and regulatory policies.
• Liaise with stock exchanges, clearing corporations, SEBI and depositories; handle audits.

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.