Compliance Officer (broking)

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

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Coimbatore is seeking a Compliance Manager to oversee regulatory adherence across stock exchanges and depositories. You will monitor compliance, respond to notices, coordinate with departments, and lead risk-management initiatives.

The role requires staying updated on SEBI rules, conducting employee training, and ensuring alignment with Company Law Board requirements. A strong grasp of KYC/AML is essential.

Qualifications

• Regulatory compliance experience with stock exchanges and regulatory bodies.
• Understanding of KYC/AML and PMLA guidelines.
• Strong risk management and controls mindset.

Responsibilities

• Monitor day-to-day compliance with stock exchanges and depositories.
• Respond to notices from SEBI, BSE, NSE, MCX and CDSL.
• Handle SEBI and stock exchange inspections.
• Coordinate with internal departments to submit timely data to regulators.
• Stay updated on amendments to SEBI and exchange regulations.
• Organize training for employees on regulatory changes.
• Participate in risk management and reducing financial crime.
• 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.