Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Coimbatore District; On-site; INR 600,000 - 900,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a Compliance Officer (Broking Vertical) to oversee regulatory adherence for stock broking activities, PMS, and investment advisory compliances in India.

The role includes AML training, governance under the Code of Conduct for insider trading, and liaison with SEBI/exchanges. The candidate will coordinate legal matters, respond to external agencies, draft notices, and manage the compliance calendar, audits, and registrations.

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 related queries raised by departments.
• Reporting to the Board/MD if breaches occur.
• Co-ordinating for and attending to legal matters as required.
• Responding to external agencies like EOW, ACB, etc.
• Drafting Notices and supporting company mission and compliance goals.
• Updating compliance with rules by exchanges, SEBI and CDSL.
• Maintaining the Compliance Calendar and deadlines for activities.
• Redressing client grievances timely.
• Handling arbitration matters.
• Registering/deregistering Authorized Persons and Sub Brokers with Exchanges/SEBI.
• Managing statutory/regulatory inspections and audits.
• Processing Applications/Renewals for registrations/approvals.
• Updating statutory records as required under Companies Act 2013.

Responsibilities

• Ensure adherence to SEBI and exchange compliance for broking activities.
• Provide AML training to staff and monitor regulatory changes.
• Support governance through Code of Conduct and insider trading controls.
• Respond to internal queries and coordinate with departments on compliance.
• Report breaches to Board/MD and implement corrective steps.
• Coordinate legal matters and liaise with external agencies as needed.
• Draft notices and assist in regulatory matters to safeguard company interests.
• Maintain compliance calendar and meet all regulatory deadlines.
• Address client grievances promptly and transparently.
• Oversee arbitration processes and related tasks.
• Register/deregister Authorized Persons and Sub Brokers with SEBI and exchanges.
• Support inspections and audits by regulators and prepare required documents.
• Handle registrations/approvals applications and renewals.

Skills

SEBI compliance

AML training

Regulatory reporting

Legal coordination

Arbitration handling

Registrations with SEBI/Exchanges

Audits & inspections

Grievance redressal

Notice drafting

Adherence to compliance calendar

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