Compliance Executive

Intellectual Capital HR Consulting Pvt. Ltd.; Surat; On-site; INR 900,000 - 1,500,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Surat seeks a Compliance Officer to oversee regulatory adherence for stock-broker operations in India. You will ensure compliance with SEBI regulations, draft and vet legal documents, and liaise with stock exchanges and SEBI to support governance and risk controls.

The role focuses on drafting SOPs, regulatory policy frameworks, and handling audits/inspections, requiring strong analytical skills and a proactive compliance mindset.

Responsibilities

• To ensure compliance with SEBI (Stock-Brokers) Regulations, 1992 and circulars/notifications issued thereunder.
• To draft, vet, review and negotiate legal documents such as Standard Operating Procedures, Regulatory Policy framework, Website updates with respect to Regulatory requirements, Disclaimers, etc.
• To ensure compliance with circulars, notifications, guidelines issued by stock exchanges from time to time; discuss impact analysis with management; prepare and implement compliance calendar; experience of handling internal, statutory audits & inspection from Stock Exchanges and SEBI; liaison with Stock Exchanges, Clearing Corporations, SEBI and Depositories.

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.