Compliance Executive

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

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. invites a compliance professional to manage regulatory obligations for stock-brokers, including SEBI regulations and LODR, and to oversee drafting and vetting of SOPs, policy frameworks, and disclosures.

The role requires liaising with stock exchanges, clearing corporations, SEBI and depositories, performing impact analysis, and coordinating internal audits and inspections to ensure ongoing regulatory conformity.

Responsibilities

• Ensure compliance with SEBI regulations for Stock-Brokers (1992) and circulars issued thereunder; SEBI (Non-Convertible Securities) Regulations, 2021 as applicable; SEBI (Intermediaries) Regulations, 2008; Prevention of Money Laundering Act, 2002 for SEBI Registered Intermediaries; SEBI LODR.

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.