Compliance Officer - Broking Vertical (Designated)

Intellectual Capital HR Consulting Pvt. Ltd.; Gurugram District; On-site; INR 1,500,000 - 2,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in India seeks a designated Compliance Officer for its capital markets practice, covering stock broking, PMS and portfolio management services.

The role reports directly to the Board of Directors and the Managing Director on breaches and carries personal regulatory accountability. Key duties include ensuring adherence to SEBI rules, Exchanges and CDSL, maintaining the compliance calendar, handling audits and registrations, addressing client

Qualifications

• Must be a qualified Company Secretary with all four NISM certifications.
• Experience with SEBI stock broking, PMS, Investment Adviser and insider-trading rules.
• Ability to coordinate with Board and Managing Director on compliance breaches.

Responsibilities

• Ensure compliance across SEBI stock broking, PMS, IAs and insider-trading regulations.
• Maintain the compliance calendar and submit to regulators as required.
• Handle inspections, renew registrations, and manage notices and deregistrations.
• Redress client grievances and draft regulatory correspondence.
• Maintain statutory records and Registers under the Companies Act 2013.

Skills

Regulatory compliance

Anti-money laundering

Stakeholder communication

Education

Company Secretary

NISM-Series-III-A

NISM-Series-VI

NISM-Series-VII

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.

Please note: 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.