Compliance Officer (broking)

Intellectual Capital HR Consulting Pvt. Ltd.; Chennai District; On-site; INR 900,000 - 1,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. seeks a Compliance Manager to oversee day‑to‑day compliance with stock exchanges, depositories, and regulatory guidelines in India.

The role focuses on monitoring adherence to SEBI, BSE, NSE, MCX, and CDSL rules and ensuring timely reporting and data submission. You will coordinate with internal teams, stay updated on amendments, train staff on regulatory changes, manage risk to reduce financial crime, and ensure compliance with Company Law Board

Qualifications

• Monitors day-to-day regulatory compliance with stock exchanges and depositories.
• Ensures KYC and AML & PMLA guidelines are followed.
• Supports regulatory reporting and data submission to authorities.

Responsibilities

• Monitor day‑to‑day compliance with stock exchanges and depositories.
• Respond to notices from regulators and exchanges.
• Handle SEBI and stock exchange inspections.
• Coordinate with internal departments for timely regulatory data.
• Stay updated on amendments in SEBI and exchange rules.
• Organize regular training on regulatory changes for staff.
• Assist in risk management to reduce financial crime.
• Ensure compliance with Company Law Board requirements.

Skills

Regulatory compliance

KYC & AML

Risk management

SEBI regulations

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.