Compliance Executive

Intellectual Capital Hr Consulting; Mumbai; On-site; INR 600,000 - 900,000; Full time

Job summary

Intellectual Capital Hr Consulting is seeking a Compliance Executive to monitor day-to-day compliance with stock exchanges and regulatory guidelines. The role involves responding to notices, handling inspections, coordinating with internal teams for regulator data submissions, and training staff on regulatory changes.

The incumbent will stay updated on SEBI and stock exchange regulations and contribute to risk management to minimize financial crime while ensuring adherence to Company Law Board

Qualifications

• Must understand SEBI/stock exchange regulations and compliance frameworks.
• Ability to monitor day-to-day regulatory requirements and ensure timely submission of data.

Responsibilities

• Monitor compliance with stock exchanges and depositories.
• Respond to surveillance notices and orders from SEBI, BSE, NSE, MCX, and CDSL.
• Handle SEBI and stock exchange inspections.
• Coordinate with internal departments for regulator data submissions.
• Stay updated on amendments in SEBI and stock exchange rules.
• Organize regular training on regulatory changes for employees.
• Assist in risk management and reducing financial crime.
• Ensure compliance with Company Law Board requirements.

Skills

Regulatory compliance

Stock exchanges

KYC/AML/PMLA

Regulatory reporting

Risk management

Training and awareness

Job description

Role & responsibilities

compliance executive

Roles and Responsibilities :

• Monitoring: Thecomplianceexecutive monitors the firm's day-to-daycompliancewith stock exchanges and depositories.They also monitor thecomplianceof KYC and AML & PMLA guidelines.
• Responding to notices:Thecompliance officer responds to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL.
• Handling inspections:Thecompliance officer handles SEBI and stock exchange inspections.
• Coordinating with internal departments:Thecompliance officer coordinates with internal departments to ensuretimely submission of data to regulatory bodies.
• Staying updated: Thecomplianceofficer stays updated on amendments in SEBI and stock exchangecompliance regulations.
• Training employees:Thecompliance officer organizes regular training sessions for employees to communicate key regulatory changes and updates.
• Managing risk:Thecomplianceofficer plays an active role in managing a firm's risk and reducing financial crime.
• Ensuringcompliancewith company law:Thecomplianceofficer ensurescompliancewith Company Law Board requiremen