Compliance Executive

Intellectual Capital HR Consulting Pvt. Ltd.; Coimbatore District; On-site; INR 800,000 - 1,100,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in India seeks a Compliance Officer to oversee regulatory adherence for stock-brokers, including SEBI rules and related circulars.

You will draft, vet and negotiate legal documents such as SOPs and regulatory policy frameworks, and liaise with stock exchanges, SEBI and depositories to implement a robust compliance calendar.

Strong analytical skills and experience with audits and inspections will support ongoing governance and risk mitigation.

Responsibilities

• To ensure compliance with SEBI regulations and circulars for stock brokers.
• Draft, vet, review and negotiate legal documents including SOPs, regulatory policy framework, website disclosures, regulatory show cause notices.
• Liaise with stock exchanges, clearing corporations, SEBI and depositories; discuss impact analysis with management and implement compliance calendar; handle audits/inspections.

Job description

Role & responsibilities

Key Responsibilities:

1. 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. 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. 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.