Compliance Officer (broking)

Intellectual Capital HR Consulting Pvt. Ltd.; Chandigarh; On-site; INR 900,000 - 1,300,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd.

is seeking a Compliance Manager to oversee regulatory compliance activities and risk controls. The role involves monitoring day-to-day compliance with stock exchanges and depositories, responding to notices from SEBI, BSE, NSE, MCX and CDSL, coordinating with internal departments, staying updated on regulatory amendments, and training employees on key regulatory changes.

Responsibilities

• Monitor day-to-day compliance with stock exchanges and depositories
• Respond to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL
• Coordinate with internal departments to ensure timely submission of data to regulatory bodies
• Stay updated on amendments in SEBI and stock exchange compliance regulations
• Train employees to communicate key regulatory changes and updates
• Manage risk and reduce financial crime for the firm
• Ensure compliance with Company Law Board requirements

Job description

Role & responsibilities

Position: ComplianceManager

Roles and Responsibilities

• Monitoring

The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories.They also monitor the compliance of KYC and AML & PMLA guidelines.

• Responding to notices

The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL.

• Handling inspections

The compliance officer handles SEBI and stock exchange inspections.

• Coordinating with internal departments

The compliance officer coordinates with internal departments to ensure timely submission of data to regulatory bodies.

• Staying updated

The compliance officer stays updated on amendments in SEBI and stock exchange compliance regulations.

• Training employees

The compliance officer organizes regular training sessions for employees to communicate key regulatory changes and updates.

• Managing risk

The compliance officer plays an active role in managing a firm's risk and reducing financial crime.

• Ensuring compliance with company law

The compliance officer ensures compliance with Company Law Board requirements.