Assistant Compliance Manager

Intellectual Capital HR Consulting Pvt. Ltd.; Surat; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a compliance professional to ensure adherence to SEBI and regulatory requirements for stock-broker operations. The role includes drafting and vetting legal documents, updating regulatory disclosures, and managing notices from regulators and exchanges.

You will liaise with stock exchanges, SEBI and depositories, and participate in audits and regulatory reviews to maintain compliance calendars and policy frameworks.

Qualifications

• To ensure compliance with SEBI regulations and circulars related to Stock-Brokers.
• Drafting, vetting and negotiating legal documents and regulatory policy frameworks.
• Regulatory website updates and disclosures in line with regulatory requirements.
• Managing regulatory show cause notices, adhoc queries, and inspection notices.
• Experience with internal and statutory audits & inspections by stock exchanges and SEBI.
• Liaison with Stock Exchanges, Clearing Corporations, SEBI and Depositories.

Responsibilities

• To ensure compliance with circulars, notifications, guidelines issued by the stock exchanges from time to time.
• Discuss impact analysis of applicable regulatory framework with management, prepare and implement compliance calendar.
• Experience of handling internal, statutory audits & inspection from Stock Exchanges and SEBI.
• To liaison with the Stock Exchanges, Clearing Corporations, SEBI and Depositories.

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.