A capital markets house is hiring a designated Compliance Officer for its broking vertical, covering stock broking, depository participant and portfolio management services.

Please note: this is a designated Compliance Officer seat with direct reporting to the Board of Directors and the Managing Director on compliance breaches. It carries personal regulatory accountability.

Key responsibilities:
- Compliance across SEBI stock broking, PMS, Investment Adviser and insider-trading regulation; ensure compliance with all rules framed by the Exchanges, SEBI and CDSL
- Ensure compliance with the Code of Conduct for Prevention of Insider Trading; provide Anti Money Laundering standards training to all staff
- Maintain the compliance calendar and adhere to every prescribed deadline; make submissions to the regulatory authority as required




- Handle statutory and regulatory inspections and audits; apply for and renew registrations and approvals; register and deregister Authorised Persons and sub-brokers
- Redress client grievances within timelines; handle arbitration matters; draft notices and attend to regulatory correspondence
- Update and maintain statutory records and registers under the Companies Act, 2013

Mandatory: qualified Company Secretary, and all four certifications - NISM-Series-III-A (Securities Intermediaries Compliance), NISM-Series-VI (Depository Operations), NISM-Series-VII (Securities Operations and Risk Management) and NISM-Series-IX.

📌 Compliance Officer - Broking Vertical (Designated) (Mumbai)
🏢 Intellectual Capital HR Consulting
📍 Mumbai