Compliance Officer

Intellectual Capital Hr Consulting; Mumbai; On-site; INR 900,000 - 1,300,000; Full time

Job summary

Intellectual Capital Hr Consulting is seeking a Compliance Officer (Broking Vertical) to oversee SEBI-related compliance for broking, PMS and investment advisory activities. The role includes AML staff training, enforcing insider trading codes, responding to compliance queries, and reporting breaches to the board.

You will coordinate legal matters, handle external agency communications, maintain compliance calendars, and manage registrations with exchanges/SEBI while ensuring regulatory

Qualifications

• Knowledge of SEBI stock broking, PMS, investment advisories and insider trading compliance.
• Ability to train staff on Anti Money Laundering standards.
• Ensure compliance with the Code of Conduct for prevention of insider trading.
• Respond to compliance queries across functions and operations.
• Escalate and report to the board on breaches of compliance.
• Coordinate for legal matters and regulatory inspections when required.
• Manage external communications with agencies like EOW or ACB.
• Draft notices and support the company mission and regulatory commitments.
• Ensure compliance with rules framed by exchanges, SEBI and CDSL.
• Maintain the compliance calendar and meet regulatory deadlines.
• Address client grievances promptly and handle arbitration matters.
• Register/deregister Authorized Persons and Sub Brokers with exchanges/SEBI.
• Handle statutory/regulatory inspections and audits.
• Apply for/renew registrations and approvals for business activities.
• Update statutory records as required under Companies Act 2013.

Responsibilities

• Oversee SEBI compliance for broking, PMS and investment advisory domains.
• Provide AML training to staff across the organisation.
• Monitor and enforce the Code of Conduct for insider trading.
• Respond to compliance queries from operations and other departments.
• Report breaches of compliance to the Board/MD as needed.
• Coordinate legal matters and respond to external agencies.
• Draft notices and support alignment with the company mission.
• Maintain regulatory calendars and ensure timely filings and renewals.
• Manage client grievances and arbitration processes.
• Register/deregister Authorized Persons and Sub Brokers with authorities.
• Support audits, inspections and regulatory requests.
• Keep statutory records up to date as per Companies Act 2013.

Skills

SEBI compliance

AML training

Insider trading compliance

Regulatory liaison

Compliance reporting

Policy drafting

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