Intellectual Capital HR Consulting Pvt. Ltd. | Head of Compliance | mumbai
2 weeks ago
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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