Compliance Officer

Role & responsibilities

Role : Compliance Officer (Broking Vertical)

Job Requirements :

• SEBI Stock Broking, PMS, Investment Advisors, Insider Trading related compliances
• Provide training for Anti Money Laundering Standards to all Staff members
• Ensuring compliance with the Code of Conduct for Prevention of Insider Trading
• Answering any compliance related queries raised by functional / operations departments
• Reporting to the Board of Directors/Managing Director if the company / any staff member has breached compliance requirements
• Co-ordinating for and attending to legal matters, as and when required
• Attending to queries/letters/communication from external agencies (other than Exchanges) like EOW, ACB, etc
• Drafting Notice & Working towards achievement of the Company Mission keeping in view Companys vision, beliefs and mission statements
• Ensuring compliance with all rules & regulations framed by regulatory authorities like Exchanges, SEBI and CDSL
• Maintaining the Compliance Calendar, in accordance with regulatory requirements and adhere to the deadlines prescribed for each activity
• Redressing the grievances of clients in a timely manner
• Handling arbitration related matters
• Registering / deregistering Authorized Person and Sub Broker with Exchanges/SEBI and adhere to necessary compliance related matters thereto
• Handling Statutory / Regulatory Inspections / Audits
• Application / Renewal of Registrations / Approvals for various business activities
• Updating & maintaining statutory records and registers of the company (both physically & electronically) as required under the provisions of Companies Act, 2013