Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Lucknow; On-site; INR 600,000 - 1,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a Compliance Officer (Broking Vertical) to oversee SEBI/regulatory compliance, trainings and external agency liaison in Lucknow. You will monitor insider trading controls, AML standards and reporting to senior leadership.

The role requires coordinating for legal matters, managing compliance calendars, handling regulatory inspections and authorizations for broking activities. Prior experience in stock broking compliance is preferred.

Qualifications

• Experience with SEBI Stock Broking and PMS/Investment Advisor compliances.
• Ability to train staff on Anti Money Laundering standards.
• Experience in regulatory inspections and related filings.

Responsibilities

• Report to the Board/MD if compliance breaches occur.
• Coordinate for and attend to legal matters as required.
• Handle external agency communications (EOW, ACB, etc.).
• Draft notices and align with company mission and vision.
• Ensure compliance with rules by exchanges, SEBI and CDSL.
• Maintain the Compliance Calendar and deadlines.
• Address client grievances promptly.
• Handle arbitration-related matters.
• Register/deregister Authorized Persons and Sub Brokers with exchanges/SEBI.
• Manage statutory/regulatory inspections and audits.
• Process applications/renewals for registrations and approvals.
• Update statutory records per Companies Act 2013.

Skills

SEBI Compliance

Broking Compliance

PMS Compliance

Investment Advisor Compliance

Insider Trading Compliance

AML Training

Regulatory Reporting

Regulatory Audits

Legal Liaison

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