Compliance Officer Broking Bhubaneswar (India)

HITACHI VANTARA INDIA PRIVATE LIMITED; Khordha; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

HITACHI VANTARA INDIA PRIVATE LIMITED is seeking a Compliance Manager to oversee day-to-day regulatory compliance with stock exchanges and depositories. You will handle notices, participate in inspections, and coordinate with internal teams to ensure timely data submissions to regulators.

You will stay updated on SEBI and exchange regulations and lead regular compliance trainings to mitigate financial crime across the organization.

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.

Job description

Role & responsibilities

Roles and Responsibilities :

Position: Compliance Manager

• 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.