Compliance Executive

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

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a regulatory compliance professional to ensure adherence to SEBI regulations for stock brokers and related circulars. The role involves drafting, vetting, and negotiating legal documents, SOPs, regulatory policies, and disclosures.

The candidate will liaise with SEBI, stock exchanges, clearing corporations, and depositories, handling regulatory show-cause notices and responses. Experience with regulatory audits is preferred.

Qualifications

• Experience ensuring compliance with SEBI Regulations and stock exchange circulars.
• Drafting, vetting, and negotiating legal documents and SOPs.
• Managing regulatory notices and liaising with SEBI, exchanges and depositories.

Responsibilities

• Ensure compliance with SEBI regulations for stock brokers and related circulars.
• Draft, vet, review and negotiate legal documents, SOPs, regulatory policy, and disclosures.
• Liaise with stock exchanges, clearing corporations, SEBI and depositories; oversee regulatory notices.

Skills

Regulatory compliance

SEBI regulations

Legal drafting

Regulatory liaison

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.