Compliance Officer (broking)

Intellectual Capital HR Consulting Pvt. Ltd.; Kolkata District; On-site; INR 600,000 - 900,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd.

is seeking an experienced Compliance Manager in India to oversee regulatory alignment with SEBI and stock exchanges, including KYC/AML compliance, inspections, and risk controls. The role requires staying updated on regulatory changes, coordinating with internal teams, and training staff to ensure timely submissions and ongoing compliance across the organization.

Qualifications

• Monitors day-to-day compliance with stock exchanges and depositories.
• Responds to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL.
• Handles SEBI and stock exchange inspections.
• Coordinates with internal departments to ensure timely data submission to regulatory bodies.
• Keeps updated on amendments in SEBI and stock exchange regulations.
• Organizes regular training for employees on regulatory changes and updates.
• Acts to manage risk and reduce financial crime for the firm.
• Ensures compliance with Company Law Board requirements.

Responsibilities

• 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.
• 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.

Skills

Monitoring

Responding to notices

Handling inspections

Coordinating with departments

Staying updated

Training employees

Risk management

Company law compliance

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.