Compliance Officer - Broking Vertical (Designated)

Intellectual Capital Hr Consulting; Mumbai; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

A leading capital markets house seeks a designated Compliance Officer for its broking vertical, covering stock broking, PMS and portfolio management services. This seat reports directly to the Board of Directors and the Managing Director on compliance breaches, with personal regulatory accountability.

Key responsibilities include ensuring compliance with SEBI rules for stock broking, PMS and depository operations; providing AML training; maintaining a compliance calendar; handling inspections

Qualifications

• Qualified Company Secretary mandatory.
• Must hold NISM-Series-III-A (Securities Intermediaries Compliance), Series-VI, Series-VII, Series-IX.
• Experience in regulatory compliance in capital markets is expected.

Responsibilities

• Compliance across SEBI stock broking, PMS, Investment Adviser and insider-trading regulation.
• Provide Anti Money Laundering standards training to all staff.
• Maintain the compliance calendar and submissions to regulator.
• Handle inspections and audits; register/deregister Authorised Persons and sub-brokers.
• Redress client grievances within timelines and manage regulatory notices.
• Update statutory records under the Companies Act, 2013.

Skills

Regulatory compliance

SEBI rules knowledge

Governance & risk management

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.