Assistant Compliance Manager

Intellectual Capital HR Consulting Pvt. Ltd.; New Delhi; On-site; INR 1,500,000 - 2,100,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a compliance professional to ensure adherence to SEBI regulations and PMLA as applicable to registered intermediaries. The role includes drafting and vetting SOPs and regulatory policies, and coordinating with stock exchanges and SEBI.

The candidate will also monitor circulars and guidelines, perform impact analysis with management, and manage internal audits and regulatory inspections, coordinating with exchanges and depositories.

Qualifications

• Regulatory compliance knowledge across SEBI regulations and PMLA as applicable to registered intermediaries.
• Experience in drafting, vetting and negotiating SOPs, policy frameworks and regulatory disclosures.

Responsibilities

• To ensure compliance with SEBI regulations (Stock-Brokers, Intermediaries, 2021) and PMLA as applicable.
• Drafting, vetting, reviewing and negotiating legal documents such as SOPs, regulatory policy frameworks, website updates and show cause notices.
• Ensure compliance with circulars and guidelines issued by stock exchanges; discuss impact analysis with management and implement a compliance calendar.
• Experience of handling internal and statutory audits & inspections by Stock Exchanges and SEBI; liaise with exchanges, clearing corporations, SEBI and depositories.

Skills

Regulatory compliance

Legal drafting

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.