Compliance Officer - Broking Vertical (Designated)

Intellectual Capital HR Consulting Pvt. Ltd.; New Delhi; Presencial; INR 1 200 000 - 1 800 000; Tempo integral

Resumo da oferta

Intellectual Capital HR Consulting Pvt. Ltd.

is sourcing a designated Compliance Officer for a capital markets client, covering stock broking, PMS and DP services, with direct reporting to the Board and Managing Director on compliance breaches. The role carries personal regulatory accountability and will oversee compliance with SEBI, exchanges, CDSL, and insider trading rules; manage audits, registrations, and grievance resolution.

Qualificações

• Qualified Company Secretary.
• All four NISM certifications: III-A, VI, VII and IX.

Responsabilidades

• 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.

Conhecimentos

Regulatory compliance

SEBI rules

Insider trading

Audit & registrations

Formação académica

Company Secretary

NISM-Series-III-A (Securities Intermediaries Compliance)

NISM-Series-VI (Depository Operations)

NISM-Series-VII (Securities Operations and Risk Management)

NISM-Series-IX

Descrição da oferta de emprego

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.