Compliance Officer (broking)

Intellectual Capital HR Consulting Pvt. Ltd.; Jaipur; On-site; INR 800,000 - 1,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd.

in Jaipur, India, is seeking a Compliance Manager responsible for monitoring regulatory compliance across stock exchanges and depositories, including KYC and AML/PMLA guidelines. The role involves responding to notices from SEBI, BSE, NSE, MCX, and CDSL; coordinating with internal departments for timely data submissions; staying updated on SEBI amendments; and organizing training to communicate regulatory changes, while actively managing risk and

Qualifications

• Monitoring day-to-day compliance with stock exchanges and depositories, including KYC and AML/PMLA guidelines.
• Responding to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL.
• Handling SEBI and stock exchange inspections.
• Coordinating with internal departments to ensure timely data submission to regulators.
• Staying updated on amendments in SEBI and stock exchange regulations.
• Training employees on regulatory changes and updates.
• Managing risk and reducing financial crime for the firm.
• Ensuring compliance with Company Law Board requirements.

Responsibilities

• Monitoring day-to-day compliance with stock exchanges and depositories, including KYC and AML/PMLA guidelines.
• Responding to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL.
• Handling SEBI and stock exchange inspections.
• Coordinating with internal departments to ensure timely data submission to regulators.
• Staying updated on amendments in SEBI and stock exchange regulations.
• Training employees on regulatory changes and updates.
• Managing risk and reducing financial crime for the firm.
• Ensuring 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.