Compliance Executive

Intellectual Capital HR Consulting Pvt. Ltd.; Hyderabad; On-site; INR 800,000 - 1,400,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. seeks a compliance professional to ensure adherence to SEBI regulations and related frameworks for stock brokers. The role includes drafting and vetting regulatory documents and liaising with stock exchanges, SEBI, and depositories.

Responsibilities include preparing impact analyses of regulatory changes, maintaining compliance calendars, and supporting internal and external audits and inspections as required.

Qualifications

• To ensure compliance with SEBI regulations applicable to stock brokers and related circulars/notifications.
• Drafting, vetting, reviewing and negotiating legal documents such as Standard Operating Procedures and regulatory policy frameworks.
• Discuss impact analysis of applicable regulatory frameworks with management and implement compliance calendars.

Responsibilities

• Ensure compliance with circulars, notifications and guidelines issued by stock exchanges.
• Prepare impact analyses of regulatory frameworks and implement compliance calendars.
• Coordinate with stock exchanges, clearing corporations, SEBI and depositories; assist internal and statutory audits and 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.