Compliance Officer

1 day ago

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

Compliance Officer Roles and Responsibilities : Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines. Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL. Handling inspections :The compliance officer handles SEBI and stock exchange inspections. Coordinating with internal departments :The compliance officer coordinates with internal departments to ensure timely submission of data to regulatory bodies. Staying updated : The compliance officer stays updated on amendments in SEBI and stock exchange compliance regulations. Training employees: The compliance officer organizes regular training sessions for employees to communicate key regulatory changes and updates. Managing risk :The compliance officer plays an active role in managing a firm's risk and reducing financial crime. Ensuring compliance with company law :The compliance officer ensures compliance with Company Law Board requirements

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