Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Ahmedabad District; On-site; INR 700,000 - 1,100,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. invites applications for the role of Compliance Officer (Broking Vertical) in India. The role focuses on ensuring adherence to SEBI broking norms, PMS and investment advisory compliance, and the Code of Conduct for prevention of insider trading.

The candidate will train staff on anti-money laundering standards, respond to regulatory queries, and coordinate legal matters and statutory registrations in line with the Companies Act 2013.

Qualifications

• Experience with SEBI Stock Broking, PMS, and Investment Advisors compliance requirements.
• Knowledge of insider trading regulations and Code of Conduct guidelines.
• Ability to train staff on AML standards and regulatory updates.
• Experience coordinating legal matters and regulatory inspections.

Responsibilities

• Ensure compliance with SEBI, Exchanges, and regulatory authorities.
• Maintain compliance calendar and meet all regulatory deadlines.
• Draft notices and prepare documentation for regulatory actions.
• Address queries from internal departments and external agencies (EOW, ACB, etc).
• Register/deregister Authorized Persons and Sub Brokers with exchanges/SEBI as required.
• Coordinate audits, inspections, and statutory filings under applicable laws.

Skills

Regulatory compliance

SEBI norms

AML training

Legal coordination

Audit & inspections

Internal controls

Job description

Role & responsibilities

Role : Compliance Officer (Broking Vertical)

Job Requirements :

• SEBI Stock Broking, PMS, Investment Advisors, Insider Trading relatedcompliances
• Provide training for Anti Money Laundering Standards to all Staff members
• Ensuringcompliance with theCode ofConduct for Prevention of Insider Trading
• Answering anycompliance related queries raised by functional / operations departments
• Reporting to the Board of Directors/Managing Director if thecompany / any staff member has breachedcompliance requirements
• Co-ordinating for and attending to legal matters, as and when required
• Attending to queries/letters/communication from external agencies (other than Exchanges) like EOW, ACB, etc
• Drafting Notice & Working towards achievement of theCompany Mission keeping in viewCompanys vision, beliefs and mission statements
• Ensuringcompliance with all rules & regulations framed by regulatory authorities like Exchanges, SEBI andCDSL
• Maintaining theComplianceCalendar, in accordance with regulatory requirements and adhere to the deadlines prescribed for each activity
• Redressing the grievances ofclients in a timely manner
• Handling arbitration related matters
• Registering / deregistering Authorized Person and Sub Broker with Exchanges/SEBI and adhere to necessarycompliance related matters thereto
• Handling Statutory / Regulatory Inspections / Audits
• Application / Renewal of Registrations / Approvals for various business activities
• Updating & maintaining statutory records and registers of thecompany (both physically & electronically) as required under the provisions ofCompanies Act, 2013