Compliance Director

1 week ago


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

We are seeking a highly skilled Compliance Director to join our team at Intellectual Capital HR Consulting Pvt. Ltd. As a key member of our organization, you will be responsible for ensuring the smooth functioning of our compliance department and handling regulatory inspections/audits.

About the Role

The ideal candidate will have around 10-15 years of experience as a Qualified Company Secretary with at least five years in a broking company. A strong understanding of SEBI, Depositories, and Stock Exchange compliance regulations is essential. Additionally, the candidate should possess excellent analytical skills, integrity, and a resilient attitude.

Key Responsibilities
  • Ensuring compliance with all rules & regulations framed by regulatory authorities like Exchanges, SEBI, and CDSL.
  • Maintaining the Compliance Calendar, adhering to deadlines prescribed for each activity.
  • Handling legal and arbitration related matters.
  • Registering / deregistering Authorized Person and Sub Broker with Exchanges/SEBI and adhering to necessary compliance related matters thereto.
Requirements
  • 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
Salary and Benefits

The estimated salary for this position is ₹25,00,000 per annum, depending on qualifications and experience. We offer a competitive benefits package, including opportunities for professional growth and development.



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