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.
📌 Compliance Officer (broking) (Pune)
🏢 Intellectual Capital HR Consulting
📍 Pune
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