Compliance Officer

16 hours ago


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

Compliance Officer

Roles and Responsibilities :

  • Monitoring
    : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.
  • Responding to notices
    :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from SEBI, BSE, NSE, MCX, and CDSL.
  • Handling inspections
    :The compliance officer handles SEBI and stock exchange inspections.
  • Coordinating with internal departments
    :The compliance officer coordinates with internal departments to ensure timely submission of data to regulatory bodies.
  • Staying updated
    : The compliance officer stays updated on amendments in SEBI and stock exchange compliance regulations.
  • Training employees:
    The compliance officer organizes regular training sessions for employees to communicate key regulatory changes and updates.
  • Managing risk
    :The compliance officer plays an active role in managing a firm's risk and reducing financial crime.
  • Ensuring compliance with company law
    :The compliance officer ensures compliance with Company Law Board requirements

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