- Location
- Mumbai Metropolitan Region
- Job type
- Full-time
Required skills
- arbitration
- communication skills
- compliance
About the role
Website:
intellectualcapital.co.in
Job details:
Role : Compliance Officer (Broking Vertical)
Job Requirements :
- 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 Companys 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
Click on Apply to know more.
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