Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Khordha; In loco; INR 700.000 - 1.300.000; Tempo pieno

Descrizione del lavoro

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a Compliance Officer (Broking) in Odisha to oversee SEBI-related broking compliances and AML trainings.

The role involves coordinating with regulatory bodies, maintaining compliance calendars, and guiding staff across departments to ensure adherence to all applicable rules. You will report to the leadership on breaches and participate in legal matters, audits, and registrations with exchanges as required, contributing to the firm’s

Competenze

• Experience in SEBI stock broking, PMS, investment advisors compliance.
• Ability to train staff on AML standards.
• Knowledge of Code of Conduct for Prevention of Insider Trading.
• Experience handling regulatory inspections and audits.

Mansioni

• Provide training for Anti Money Laundering Standards to all staff members.
• Ensure compliance with the Code of Conduct for Prevention of Insider Trading.
• Answer compliance queries from operations departments.
• Report to the Board of Directors if breaches occur.
• Coordinate for legal matters and respond to external agencies.
• Maintain compliance calendar and adhere to deadlines.
• Register/deregister Authorized Persons with Exchanges/SEBI.
• Assist with statutory registrations and inspections.

Conoscenze

Regulatory compliance

AML training

Stakeholder communication

Board reporting

Descrizione del lavoro

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