Compliance Executive

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

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a compliance executive to oversee day-to-day regulatory adherence with stock exchanges and depositories. The role includes monitoring KYC and AML guidelines and ensuring timely data submissions to regulators.

The incumbent will respond to notices, coordinate with internal departments, and stay updated on SEBI and stock exchange compliance regulations. Training employees on regulatory changes and managing risk are key duties of this position.

Responsibilities

• Monitor day-to-day compliance with stock exchanges and depositories; oversee KYC, AML & PMLA guidelines.
• Respond to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL.
• Handle SEBI and stock exchange inspections.
• Coordinate with internal departments to ensure timely submission of data to regulators.
• Stay updated on SEBI and stock exchange compliance regulations.
• Organize regular training sessions for employees on regulatory changes.
• Assist in risk management and reduction of financial crime.
• Ensure compliance with Company Law Board requirements.

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