Compliance Specialist

5 days ago


Delhi, Delhi, India Intellectual Capital HR Consulting Pvt. Ltd. Full time
Job Description

The Compliance Department plays a pivotal role in ensuring the smooth functioning of our business. As a Compliance Specialist, you will be responsible for ensuring that all regulatory requirements are met and that our operations align with relevant laws and regulations.

Key Responsibilities:

  • Develop and implement effective compliance programs to mitigate risks and ensure adherence to regulatory requirements.
  • Conduct regular audits and inspections to identify areas of non-compliance and develop corrective action plans.
  • Provide training and guidance to employees on compliance policies and procedures.
  • Coordinate with external agencies such as exchanges, SEBI, and CDSL to ensure timely submission of required documents and information.
  • Manage and maintain statutory records and registers as required under the Companies Act, 2013.
  • Ensure that all regulatory inspections and audits are completed on time and in accordance with prescribed deadlines.
  • Collaborate with internal stakeholders to address customer grievances and resolve issues in a timely manner.

Qualifications and Experience:

  • Candidate should be a qualified Company Secretary with around 10-15 years' experience, preferably in a broking company.
  • Should possess certifications like NISM-Series-III-A (Securities Intermediaries Compliance), NISM-Series-VI (Depository Operations), NISM-Series-VII (Securities Operations & Risk Mgmt), and NISM-Series-IX (Merchant Banking Certification Exam).
  • Excellent analytical, communication, and problem-solving skills.

Preferred Skills:

  • Professional working knowledge and experience of SEBI, Depositories, and Stock Exchange compliance regulations.
  • Good analytical ability to take calculated risks and decisions.
  • Integrity and commitment to delivering high-quality results.
  • Energetic and initiative-taking attitude.
  • Resilient and stress-tolerant.
  • Adaptable to change and detail-conscious.

About Us:

We are Intellectual Capital HR Consulting Pvt. Ltd., a leading provider of human resource consulting services. We believe in fostering a culture of integrity, transparency, and excellence in all our dealings. If you share our values and are passionate about delivering exceptional results, we encourage you to apply for this exciting opportunity.



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