Head of Compliance

7 days ago

Mumbai, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

Job Description

  • 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 Company’s 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

Preferred Skills

  • Professional working knowledge & working experience of SEBI, Depositories and Stock Exchange compliance regulations
  • Good analytical ability to take calculated risks & decisions
  • Integrity and Commitment
  • Energetic & Initiative taking attitude
  • Resilient & stress tolerant
  • Adaptable to change
  • Detail conscious
  • Persuasive & good negotiation skills
  • Excellent listening, oral and written communication skills

Qualifications and Mandatory Exam

  • Qualified Company Secretary with around 10-15 years’ experience (atleast five years in broking company)
  • NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Exam
  • NISM-Series-VI: Depository Operations
  • NISM-Series-VII: Securities Operations & Risk Mgmt
  • NISM-Series-IX: Merchant Banking Certification Exam


Key Result Areas

  • Ensuring smooth functioning of the compliance department

Key Performance Indicators

  • Handling Regulatory Inspections / Audits
  • Submission to regulatory authority as per compliance calendar
  • Attending to customer grievances
  • Take action to modify the system based on change in regulatory requirement as and when changes occur
  • Communicating the Compliance guidelines to employees including training as and when required
  • Application / Renewal of Registrations / Approvals for various business activities
  • Handling legal and arbitration related matters
  • Registering / deregistering Authorized Person and Sub Broker with Exchanges/SEBI and adhere to necessary compliance related matters thereto

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