Compliance

1 week ago

Delhi NCR, India Intellectual Capital Hr Consulting Full time

Role & responsibilities

Position: Compliance Manager

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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