Compliance Executive

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

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Pune invites a compliance professional to oversee SEBI regulations, AML and LODR, and to draft and vet regulatory documents. The role involves liaising with stock exchanges, SEBI, depositories, and ensuring timely compliance calendars.

The candidate should have experience with regulatory frameworks, audits, and communications with regulators, supporting management in implementing compliance measures.

Responsibilities

• Ensure compliance with SEBI regulations and LODR, and AML act as applicable for SEBI Registered Intermediaries.
• Draft, vet, review, and negotiate legal documents including SOPs, regulatory policy framework, and website disclosures.
• Liaise with stock exchanges, clearing corporations, SEBI and depositories; discuss impact analysis and implement compliance calendar.

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.