Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Jaipur; Presencial; INR 400 000 - 700 000; Tempo integral

Resumo da oferta

Intellectual Capital HR Consulting Pvt. Ltd. seeks an experienced Compliance Officer (Institutional/Capital Services) to ensure transparent, ethical operations within SEBI, stock exchange and MCA frameworks.

The role covers regulatory monitoring, reporting, internal audits, advisory support, policy implementation, surveillance, and investor grievance management. Education required includes CA, CS, or a law/finance degree, with around 15 years of experience in regulatory compliance roles within

Qualificações

• CA/CS or law/finance degree required.
• 15 years of experience in compliance auditing or regulatory roles.

Responsabilidades

• Regulatory Compliance & Monitoring: Monitor SEBI regulations, stock exchange rules, and AML guidelines.
• Reporting: Ensure timely submission of regulatory returns and data to authorities.
• Internal Control & Audit: Conduct internal audits to assess compliance and manage controls.
• Advisory: Provide regulatory guidance to business teams (Broking, Research, Wealth).
• Policy Implementation: Maintain policies including Related Party Transactions and Insider Trading.
• Surveillance: Monitor trading activities and surveillance alerts.
• Grievance Handling: Manage investor grievances and regulatory inquiries.

Conhecimentos

Analytical

Reporting

Communication

Regulatory knowledge

Formação académica

CA

CS

LLB/Finance degree

Descrição da oferta de emprego

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.