Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Chandigarh; On-site; INR 1,200,000 - 2,400,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. seeks a Compliance Officer (Broking Vertical) to ensure regulatory compliance across SEBI, stock broking, PMS, and investment advisory domains.

The role involves training staff on AML standards and maintaining regulatory conduct in line with statutory requirements. The incumbent will coordinate legal matters, manage compliance with exchanges and SEBI, respond to inquiries from external agencies, and support corporate governance through effective

Qualifications

• Interpret and implement SEBI stock broking and compliance requirements.
• Train staff on Anti Money Laundering standards.
• Ensure adherence to the Code of Conduct for Insider Trading.
• Answer compliance-related queries from departments.

Responsibilities

• Maintain compliance calendar and deadlines.
• Report breaches to Board/MD as required.
• Coordinate for legal matters and regulatory inspections.
• Liaise with external agencies (EOW, ACB, etc.).
• Draft notices and align with company mission and policies.
• Register/deregister Authorized Persons and Sub-Brokers with Exchanges/SEBI.

Skills

SEBI regulatory rules

Anti Money Laundering

Insider Trading compliance

Regulatory communications

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