Compliance Officer (broking)

Intellectual Capital HR Consulting Pvt. Ltd.; Surat; On-site; INR 900,000 - 1,400,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Surat, Gujarat seeks a Compliance Manager to oversee regulatory compliance with stock exchanges and depositories. The role includes monitoring, responding to notices, inspections, and coordinating with internal departments to ensure timely regulatory reporting.

The ideal candidate will stay updated on SEBI regulations and conduct employee training on compliance changes, while actively mitigating financial crime and ensuring legal compliance.

Responsibilities

• 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 data submission to regulators.
• Staying updated on amendments in SEBI and stock exchange regulations.
• Organizing regular training sessions for employees on regulatory changes.
• Managing risk and reducing financial crime within the firm.
• Ensuring compliance with Company Law Board requirements.

Skills

Compliance management

Regulatory knowledge

Risk assessment

Training & development

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.