Compliance Officer

Role & responsibilities

Role : Compliance Officer (Broking Vertical)

Job Requirements

• SEBI Stock Broking, PMS, Investment Advisors, Insider Trading relatedcompliances
• Provide training for Anti Money Laundering Standards to all Staff members
• Ensuringcompliance with theCode ofConduct for Prevention of Insider Trading
• Answering anycompliance related queries raised by functional / operations departments
• Reporting to the Board of Directors/Managing Director if thecompany / any staff member has breachedcompliance 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 theCompany Mission keeping in viewCompanys vision, beliefs and mission statements
• Ensuringcompliance with all rules & regulations framed by regulatory authorities like Exchanges, SEBI andCDSL
• Maintaining theComplianceCalendar, in accordance with regulatory requirements and adhere to the deadlines prescribed for each activity
• Redressing the grievances ofclients in a timely manner
• Handling arbitration related matters
• Registering / deregistering Authorized Person and Sub Broker with Exchanges/SEBI and adhere to necessarycompliance related matters thereto
• Handling Statutory / Regulatory Inspections / Audits
• Application / Renewal of Registrations / Approvals for various business activities
• Updating & maintaining statutory records and registers of thecompany (both physically & electronically) as required under the provisions ofCompanies Act, 2013