Compliance Officer (broking)

Intellectual Capital HR Consulting Pvt. Ltd.; Mumbai; On-site; INR 1,200,000 - 1,600,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a Compliance Manager to oversee regulatory compliance with stock exchanges and depositories in Mumbai.

The role includes monitoring, responding to notices, coordinating with internal teams, and ensuring timely data submission to regulators. The ideal candidate stays updated on SEBI and stock exchange regulations, trains staff on changes, and actively manages risk and financial crime reduction while ensuring compliance with company law

Qualifications

• Monitoring day-to-day regulatory compliance with stock exchanges and depositories.
• 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 submission of data to regulatory bodies.
• Staying updated on amendments in SEBI and stock exchange compliance regulations.
• Training employees to communicate key regulatory changes and updates.
• Managing risk and reducing financial crime.
• Ensuring compliance with Company Law Board requirements.

Responsibilities

• Monitoring the firm's day-to-day compliance with stock exchanges and depositories.
• 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 submission of data to regulatory bodies.
• Staying updated on amendments in SEBI and stock exchange compliance regulations.
• Organizing training sessions for employees on key regulatory changes.
• Managing risk and reducing financial crime.
• 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.