Compliance Officer - Broking Vertical (Designated)
Intellectual Capital Hr Consulting · Mumbai · onsite · Posted 49d ago
Undisclosed10–15 yrsfulltimeSourced from
About a minute. You'll make an account on the way through.
About this role
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.
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.
Sourced from naukri
Skills
Compliance Managementcompliance officerAnti money launderingNISM Certifiedcompany secretarystock broking complianceSebi Regulations