Compliance Officer (broking)

Intellectual Capital HR Consulting Pvt. Ltd.; Pune District; On-site; INR 1,000,000 - 1,800,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Pune seeks a Compliance Manager to oversee regulatory compliance across stock exchanges and depositories, with emphasis on KYC, AML and PMLA guidelines.

The role involves monitoring day-to-day activities, responding to notices from SEBI and exchanges, coordinating with internal teams, staying updated on amendments, conducting employee training, and managing risk to reduce financial crime while ensuring compliance with Company Law Board requirements.

Qualifications

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

Responsibilities

• Monitor firm's day-to-day compliance with stock exchanges and depositories; oversee KYC and AML & PMLA guidelines.
• Respond to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL.
• Handle 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 for employees on key regulatory changes.
• Actively manage risk and help reduce financial crime.
• Ensure 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.