Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Ernakulam; On-site; INR 900,000 - 1,300,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a seasoned Compliance Officer (Institutional/Capital Services) to ensure operations stay transparent, ethical, and compliant with SEBI, stock exchanges, and MCA rules.

The role encompasses monitoring, reporting, internal audits, advisory for Broking/Research wealth, and enforcing RPT and insider trading policies. The position requires 15 years in regulatory compliance within financial services, with deep knowledge of SEBI regulations,

Qualifications

• CA/CS or Law/Finance degree is required.
• Strong analytical and reporting abilities are essential.
• Excellent written and verbal communication skills mandatory.

Responsibilities

• Regulatory Compliance & Monitoring: interpret SEBI rules and AML guidelines.
• Reporting: ensure timely regulatory returns and data submissions.
• Internal Control & Audit: conduct audits and strengthen compliance controls.
• Advisory: guide business teams on regulatory matters for Broking, Research, Wealth.
• Policy Implementation: maintain or update compliance policies including RPT and insider trading.
• Surveillance: monitor trading activity and raise alerts for irregularities.
• Grievance Handling: manage investor inquiries and complaints.

Skills

Analytical

Reporting

Communication

Education

CA

CS

Law/Finance degree

Job description

Role & responsibilities

Job Summary: Compliance Officer (Institutional/Capital Services)

• Role Purpose: To ensure the organization operates transparently, ethically, and within the regulatory frameworks set by governing bodies (SEBI, Stock Exchanges, MCA).
• Key Responsibilities:
• Regulatory Compliance & Monitoring: Monitor and interpret changes in SEBI regulations, stock exchange rules, and AML (Anti-Money Laundering) guidelines.
• Reporting: Ensure timely submission of regulatory returns and data to authorities.
• Internal Control & Audit: Conduct internal audits to assess compliance effectiveness and manage internal control systems.
• Advisory: Provide guidance to business teams (Broking, Research, Wealth) on regulatory matters.
• Policy Implementation: Maintain and update compliance policies, including Related Party Transactions (RPT) and Insider Trading frameworks.
• Surveillance: Monitor trading activities to detect irregularities and manage surveillance alerts.
• Grievance Handling: Manage investor grievances and regulatory inquiries.
• Education: Chartered Accountant (CA), Company Secretary (CS), or Bachelors degree in Law/Finance.
• Experience: Generally requires 15 years of experience in compliance auditing or regulatory roles within the financial services sector.
• Knowledge: Strong understanding of SEBI regulations, stock exchange bye-laws, and KYC/AML guidelines.
• Skills: Excellent analytical, reporting, and communication skill

Typical Work Environment & Location

• Location: Primarily Mumbai (Corporate Office).
• Mode: Full-time, Workshop (WFO).
• Institutional/Wealth Compliance: Managing compliance for Wealth Management, Equity, Commodity, Depository, and Research Analysts.
• Governance: Overseeing Board and shareholder matters, including ESOP frameworks and CSR compliance.