Compliance Officer (broking)

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

Job summary

Intellectual Capital HR Consulting Pvt. Ltd.

is seeking a Compliance Manager to oversee regulatory adherence and monitor the firm’s day-to-day compliance with stock exchanges and depositories, including KYC and AML/PMLA guidelines. The role involves responding to notices from SEBI, exchanges, and regulators, handling inspections, coordinating with internal departments to submit data on time, staying updated on regulatory amendments, training employees on key changes, and managing risk to curb

Qualifications

• The role requires overseeing regulatory adherence and monitoring day-to-day compliance with stock exchanges and depositories, including KYC and AML/PMLA guidelines.

Responsibilities

• Monitoring 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.
• Training employees to communicate key regulatory changes and updates.
• 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.