Compliance Specialist

4 weeks ago


Navi Mumbai, Maharashtra, India AK Capital Full time

Job Profile:

As a Compliance Officer at AK Capital, you will be responsible for ensuring compliance with various regulations, including SEBI (Stock-Brokers) Regulations, 1992, SEBI (Non-Convertible Securities) Regulations, 2021, and Prevention of Money Laundering Act, 2002. Your key responsibilities will include drafting, vetting, and reviewing legal documents, such as Standard Operating Procedures, Policy framework, and Agreements/Contracts with third-party vendors, distributors, and service providers.

Key Responsibilities:

- Ensure compliance with circulars, notifications, and guidelines issued by stock exchanges from time to time.

- Discuss impact analysis of applicable regulatory framework with management, prepare, and implement compliance calendar.

- Handle internal, statutory audits, and inspections from Stock Exchanges and SEBI.

- Liaise with Stock Exchanges, Clearing Corporations, SEBI, and have thorough understanding of financial products. Candidates with knowledge of fixed income instruments will have an added advantage.

Requirements:

- Good communication and interpersonal skills.

- Well-versed with MS Office tools (Excel and Word).

Experience: 10-12 years.

Qualification: CS (preference L.L.B.).

Industry Preferred: Financial Services (Broking).



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