Compliance Officer

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

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Chennai seeks a Compliance Officer (Broking Vertical) to oversee SEBI stock broking, PMS, investment advisors and insider trading compliances.

Responsibilities include maintaining the compliance calendar, providing AML training to staff, addressing regulatory queries, reporting breaches to the board, coordinating legal matters, and ensuring adherence to SEBI, exchanges and other authorities.

Qualifications

• SEBI Stock Broking, PMS, Investment Advisors, Insider Trading related compliances.
• Provide training for Anti Money Laundering Standards to all Staff members.
• Ensuring compliance with the Code of Conduct for Prevention of Insider Trading.
• Answering compliance queries raised by operations/departments.
• Reporting to the Board if breaches of compliance occur.
• Co-ordinating for and attending to legal matters when required.
• Handling external agency communications (EOW, ACB etc.).
• Drafting notices and supporting achievement of the Company mission.
• Ensuring compliance with rules by regulatory authorities like Exchanges/SEBI/CDSL.
• Maintaining the Compliance Calendar and deadlines for activities.
• Redressing client grievances in a timely manner.
• Handling arbitration related matters.
• Registering/deregistering Authorized Person and Sub Broker with Exchanges/SEBI.
• Handling statutory/regulatory inspections/audits.
• Updating and maintaining statutory records as required by Companies Act 2013.

Responsibilities

• Role : Compliance Officer (Broking Vertical).
• Oversee SEBI Stock Broking, PMS, Investment Advisors, Insider Trading compliances.
• Provide AML training to all staff members and ensure ongoing compliance.
• Maintain the Compliance Calendar and meet regulatory deadlines.
• Respond to compliance queries from operations/departments.
• Report breaches to the Board/MD and coordinate legal matters as needed.
• Handle inspections, registrations, renewals and external communications.
• Draft notices and support the company’s mission and regulatory adherence.

Skills

SEBI Stock Broking compliance

PMS compliance

Investment Advisors compliance

Insider Trading compliance

AML training delivery

Regulatory reporting to Board

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