Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Gurugram District; On-site; INR 800,000 - 1,100,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Gurugram seeks a Compliance Officer (Broking Vertical) to oversee SEBI Stock Broking, PMS, and Investment Advisors compliance, implement AML standards, and ensure adherence to insider trading codes.

You will maintain the compliance calendar, handle regulatory inspections, coordinate legal matters, respond to external agencies, and report breaches to the board, while guiding staff on regulatory requirements and internal policies.

Responsibilities

• 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

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