Compliance Officer - Broking Vertical (Designated)

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

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a designated Compliance Officer for its capital markets operations, including stock broking, PMS and depository services.

The role reports directly to the Board and Managing Director on compliance breaches and carries personal regulatory accountability. The candidate will oversee SEBI, Exchange, CDSL compliance, conduct AML training, manage inspections, registrations, and regulatory correspondence while maintaining statutory records under

Qualifications

• Must hold a Company Secretary qualification.
• Must hold all four NISM certifications listed.

Responsibilities

• Ensure compliance across SEBI stock broking, PMS, IA and insider-trading rules.
• Provide AML standards training to staff.
• Maintain compliance calendar and regulatory submissions.
• Handle inspections, renew registrations, and register sub-brokers.
• Redress client grievances and manage regulatory correspondence.
• Maintain statutory records under the Companies Act, 2013.

Education

Company Secretary qualification

NISM Series III-A (Securities Intermediaries Compliance)

NISM Series VI (Depository Operations)

NISM Series VII (Securities Operations and Risk Management)

NISM Series IX

Job description

A capital markets house is hiring a designated Compliance Officer for its broking vertical, covering stock broking, depository participant and portfolio management services.

This is a designated Compliance Officer seat with direct reporting to the Board of Directors and the Managing Director on compliance breaches. It carries personal regulatory accountability.

Key responsibilities

• Compliance across SEBI stock broking, PMS, Investment Adviser and insider-trading regulation; ensure compliance with all rules framed by the Exchanges, SEBI and CDSL
• Ensure compliance with the Code of Conduct for Prevention of Insider Trading; provide Anti Money Laundering standards training to all staff
• Maintain the compliance calendar and adhere to every prescribed deadline; make submissions to the regulatory authority as required
• Handle statutory and regulatory inspections and audits; apply for and renew registrations and approvals; register and deregister Authorised Persons and sub-brokers
• Redress client grievances within timelines; handle arbitration matters; draft notices and attend to regulatory correspondence
• Update and maintain statutory records and registers under the Companies Act, 2013

Mandatory

qualified Company Secretary, and all four certifications - NISM-Series-III-A (Securities Intermediaries Compliance), NISM-Series-VI (Depository Operations), NISM-Series-VII (Securities Operations and Risk Management) and NISM-Series-IX.