Compliance Executive

Intellectual Capital HR Consulting Pvt. Ltd.; Ernakulam; On-site; INR 600,000 - 1,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a compliance professional to manage regulatory requirements for stock brokers, including SEBI rules and AML mandates, with emphasis on risk controls and policy adherence.

The role involves drafting and vetting legal documents, regulatory policies, SOPs, and disclosures, as well as responding to show cause notices and regulatory inquiries. You will also coordinate with stock exchanges, SEBI, and depositories, and lead internal audits and

Responsibilities

• To ensure compliance with SEBI regulations including SEBI (Stock-Brokers) Regulations, 1992 and circulars/ notifications issued thereunder.
• Drafting, vetting, reviewing and negotiating legal documents such as: Standard Operating Procedures, Regulatory Policy framework, Website updations with respect to Regulatory requirement, Disclaimers etc.
• 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.

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.