Compliance Officer

**1. ROC**
- Drafts review for specific assignments, Signing of documents and forms filing, if required
- Periodic compliance - Annual and Quarter
- Regular work - Board resolution preparation and filing (u/s 179)
- All the ROC related compliance - which are required to execute at Office level (GM Notice Issue + uploading on website) - Of all the Companies

**2. LEGAL**
- Rent Agreements preparation and regular watching on expiration and renewal
- Review and signing -Other Agreements on requirement basis (for instance - PMS distribution agreement)
- Documents review, preparation and signing on requirement basis (For instance - Accounts dept., for Empanelment from research department )

**3. STOCK EXCHANGE**
- Regular reporting compliances i.e., MTF Reporting, Segregation, etc
- Website compliances of stock exchanges (for Instance: Investor charter on monthly basis uploading on website)
- Complaints management and timely reply

**4. SEBI**
- SI Portal - Portfolio Manager and Research Analyst - Profile updation for changes in the Company
- SEBI observations and its reply

**5. OTHER DEVELOPMENT**
- Acts review and preparation of Compliances List
- Other research - required for execution of new assignments (For instance - IA and PM distributorship )

**Requirements**:
PROFILE 1 Creating / managing and updating Compliance work Matrix for our company and all its concerned companies/ partnership firms / llp in the best interest of the organization 2 To ensure that all the compliances ( even executed by peer departments ) that need to follow are completed within due timeline. To thoroughly understand importance / priority / penalty / meaning of compliances that we need to comply 3 To ensure that all the queries that are being raised by various associated organization like income tax, SEBI, Ed, exchange etc are closed with due time limits when asked for 5 Interacting with, dealing with and responding to the queries of external and internal auditors / inspections throughout the year may be planned or unplanned. To take corrective measures on all the observations raised during inspections / audits for better controls in the organization. 6 Maintaining healthy relations with all the organizations / institutions / auditors etc associated with the department 7 Keeping a track with all the customer grievances(Cases) / Civil - Criminal Cases and follow up to complete the same. 8 To make sure that all the types of agreements at any levels in the organizations need to be authorized before getting executed 9 To get updates of all processes and systems of broking industry pertaining to Compliance operations by maintaining immediate touch with intermediaries and broker fraternity on regular basis. 10 To ensure Alignment of the process and systems of the organization with compliance issued as and when required within the due time limits as specified by the authorities. To develop mechanism to communicate any circular / change in circular / compliance etc to internal and external customer for their better understand as and when required 11 To Design/Refine and regular update SOPs (physical documents) of every process or system based on the policies related to department. 12 To follow and abide organogram structure and organization policies for overall growth 13 Recruiting, mentoring and developing compliance agents and nurture an environment where they can excel oneself through encouragement and empowerment. Keeping an accurate check on records and documents of their actions and discussions. Also analyze the statistics and compile the reports unerringly. 14 To Form a habit of reading relevant journals, going to meetings, joining webinars and attending courses/ seminars relating to compliance. Stay up-to-date with the industry's techniques and methods. Notes compliance of the organization includes branch related, Sub Broker related, ROC related, PMS related, RA related ,IA related, exchange related, SEBI related etc ROC - Registered of Company IA - Investment Advisory RA - Research Analyst