Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Surat; On-site; INR 600,000 - 900,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. seeks a Compliance Officer (Broking Vertical) to manage regulatory compliances for stock broking operations.

The role involves enforcing SEBI and exchange rules, and guiding the organization on AML standards and insider trading policies. You will coordinate with legal and operations teams and respond to external agencies as needed. Responsibilities include maintaining compliance calendars, training staff, and ensuring timely reporting of any breaches

Qualifications

• Experience in SEBI stock broking, PMS, investment advisors compliances.
• Training staff on AML standards.
• Ensuring compliance with Code of Conduct for prevention of insider trading.

Responsibilities

• Maintain compliance with exchanges, SEBI, and regulatory authorities.
• Coordinate and respond to external agencies (EOW, ACB, etc.).
• Register/deregister Authorized Persons and Sub Brokers with Exchanges/SEBI as required.
• Maintain and update statutory records and registers under Companies Act 2013.
• Provide timely compliance-related guidance to operations and staff.
• Report breaches to Board/MD and support audits/inspections.

Skills

Regulatory compliance

Anti-money laundering

Insider trading compliance

Training staff

Board liaison

Legal coordination

Grievance handling

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