Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Nagpur District; On-site; INR 800,000 - 1,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. invites applications for the role of Compliance Officer (Broking Vertical).

You will oversee SEBI-related compliance for stock broking operations and ensure strict adherence to AML standards and the Code of Conduct for Prevention of Insider Trading. The role requires coordinating with regulatory bodies, handling inquiries from external agencies, maintaining registers, and supporting legal matters and registrations with Exchanges/SEBI.

Qualifications

• Experience with SEBI Stock Broking, PMS, Investment Advisors, Insider Trading related compliances.
• Provide training for Anti Money Laundering Standards to all staff.
• Ensuring compliance with the Code of Conduct for Prevention of Insider Trading.
• Answering compliance related queries raised by functional/operations departments.
• Reporting to the Board if breaches occur or when required by regulators.

Responsibilities

• Co-ordinate for and attend to legal matters as required.
• Attend to communications from external agencies (e.g., EOW, ACB).
• Draft notices and support company mission and compliance goals.
• Maintain compliance calendar per regulatory deadlines.
• Redress client grievances in a timely manner.
• Handle arbitration related matters.
• Register/deregister Authorized Person and Sub Broker with Exchanges/SEBI.

Skills

SEBI compliance

AML training

Insider Trading compliance

Regulatory reporting

Stakeholder coordination

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