Compliance Officer (broking)

Intellectual Capital HR Consulting Pvt. Ltd.; Gurugram District; On-site; INR 1,200,000 - 2,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in India seeks a Compliance Manager to oversee day-to-day regulatory adherence across stock exchanges and depositories, with a focus on KYC and AML/PMLA guidelines.

The role involves responding to notices from SEBI, conducting inspections, coordinating with internal teams, updating on regulatory changes, training staff, and actively managing risk to curb financial crime while ensuring compliance with Company Law Board requirements.

Qualifications

• Monitor day-to-day compliance with stock exchanges and depositories.
• Monitor compliance of KYC and AML & PMLA guidelines.

Responsibilities

• The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL.
• The compliance officer handles SEBI and stock exchange inspections.
• The compliance officer coordinates with internal departments to ensure timely submission of data to regulatory bodies.
• The compliance officer stays updated on amendments in SEBI and stock exchange compliance regulations.
• The compliance officer organizes regular training sessions for employees to communicate key regulatory changes and updates.
• The compliance officer plays an active role in managing a firm's risk and reducing financial crime.
• The compliance officer ensures 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.