Compliance Officer broking

Intellectual Capital HR Consulting Pvt. Ltd.; Mumbai; On-site; INR 1,200,000 - 1,500,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. invites an experienced Compliance Officer to oversee broking sector regulations and SEBI mandates in Mumbai. You will ensure adherence to codes, manage regulatory audits, and respond to inquiries from exchanges and authorities.

The role includes training staff on anti-money-laundering standards, maintaining compliance calendars, and coordinating with internal departments to uphold the company’s regulatory obligations and governance standards.

Qualifications

• Knowledge of SEBI, Depositories and Stock Exchange regulations.
• Ability to provide AML training to staff.
• Coordinate with regulators and internal teams.
• Ensure timely compliance with regulatory deadlines.

Responsibilities

• Ensure compliance with SEBI, Exchanges, DEPOSITORIES norms.
• Maintain compliance calendar and deadlines.
• Respond to queries from EOW, ACB and other agencies.
• Register/deregister Authorized Persons and Sub Brokers as required.
• Coordinate audits and statutory inspections.
• Prepare and file notices with regulators.

Skills

SEBI compliance

Analytical skills

Integrity

Communication skills

Job description

Role : Compliance Officer (Broking Vertical)

Job Requirements :

• SEBI Stock Broking, PMS, Investment Advisors, Insider Trading related compliances
• Provide training for Anti Money Laundering Standards to all Staff members
• Ensuring compliance with the Code of Conduct for Prevention of Insider Trading
• Answering any compliance related queries raised by functional / operations departments
• Reporting to the Board of Directors/Managing Director if the company / any staff member has breached compliance requirements
• Co-ordinating for and attending to legal matters, as and when required
• Attending to queries/letters/communication from external agencies (other than Exchanges) like EOW, ACB, etc
• Drafting Notice & Working towards achievement of the Company Mission keeping in view Companys vision, beliefs and mission statements
• Ensuring compliance with all rules & regulations framed by regulatory authorities like Exchanges, SEBI and CDSL
• Maintaining the Compliance Calendar, in accordance with regulatory requirements and adhere to the deadlines prescribed for each activity
• Redressing the grievances of clients in a timely manner
• Handling arbitration related matters
• Registering / deregistering Authorized Person and Sub Broker with Exchanges/SEBI and adhere to necessary compliance related matters thereto
• Handling Statutory / Regulatory Inspections / Audits
• Application / Renewal of Registrations / Approvals for various business activities
• Updating & maintaining statutory records and registers of the company (both physically & electronically) as required under the provisions of Companies Act, 2013

Preferred Skills

• Professional working knowledge & working experience of SEBI, Depositories and Stock Exchange compliance regulations
• Good analytical ability to take calculated risks & decisions
• Integrity and Commitment
• Energetic & Initiative taking attitude
• Resilient & stress tolerant
• Adaptable to change
• Excellent listening, oral and written communication skills