Role & responsibilities

Key Responsibilities:

1. To ensure the compliance with the following regulations:

SEBI (Stock-Brokers) Regulations, 1992 and circulars/ notifications issued

thereunder.

SEBI (Non-Convertible Securities) Regulations, 2021 to the extent it is applicable

to the functioning and operations of Stock-Brokers

SEBI (Intermediaries) Regulations, 2008

Prevention of Money Laundering Act, 2002, as applicable for SEBI Registered

Intermediaries.

SEBI LODR

2. Drafting, vetting, reviewing and negotiating the legal documents such as:

Standard Operating Procedures

Regulatory Policy framework

Website updations with respect to Regulatory requirement, Disclaimers etc.

Regulatory show cause notices, adhoc queries, and inspection notices.

3. Further Responsibilities:

To ensure compliance with circulars, notifications, guidelines issued by the

stock exchanges from time to time.

To discuss impact analysis of applicable regulatory framework with the

management, prepare and implement compliance calendar etc.

Experience of handling internal, statutory audits & inspection from Stock

Exchanges and SEBI.

To liaison with the Stock Exchanges, Clearing Corporations, SEBI and

Depositories.

📌 Assistant Compliance Manager (Coimbatore)
🏢 Intellectual Capital HR Consulting
📍 Coimbatore