Compliance Officer (broking)

Intellectual Capital HR Consulting Pvt. Ltd.; Lucknow; On-site; INR 700,000 - 1,100,000; Full time

Job summary

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

The role focuses on responding to notices from SEBI, BSE, NSE, MCX and CDSL, coordinating with internal departments, and keeping pace with amendments in SEBI regulations. You will train staff, manage risk, and ensure compliance with Company Law Board requirements to safeguard the firm against financial

Qualifications

• Must monitor day-to-day regulatory compliance with stock exchanges and depositories, including KYC and AML/PMLA guidelines.
• Ability to respond to surveillance notices, show cause notices, and adjudication orders from SEBI, BSE, NSE, MCX, and CDSL.
• Experience handling SEBI and stock exchange inspections.
• Coordinate with internal departments to ensure timely submission of data to regulatory bodies.
• Stay updated on amendments in SEBI and stock exchange compliance regulations.
• Organize regular training sessions to communicate key regulatory changes and updates to employees.
• Play an active role in managing risk and reducing financial crime.
• Ensure compliance with Company Law Board requirements.

Responsibilities

• Monitoring day-to-day compliance with stock exchanges and depositories; overseeing 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 to SEBI and stock exchange rules.
• Training employees on regulatory changes and updates.
• Managing risk and reducing financial crime.
• Ensuring compliance with Company Law Board requirements.

Skills

Regulatory monitoring

Notice responses

Regulatory inspections

Interdepartmental coordination

Regulatory updates

Staff training

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.