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.