Role & responsibilities

Job Summary: Compliance Officer (Institutional/Capital Services)
Role Purpose: To ensure the organization operates transparently, ethically, and within the regulatory frameworks set by governing bodies (SEBI, Stock Exchanges, MCA).
Key Responsibilities:
Regulatory Compliance & Monitoring: Monitor and interpret changes in SEBI regulations, stock exchange rules, and AML (Anti-Money Laundering) guidelines.
Reporting: Ensure timely submission of regulatory returns and data to authorities.
Internal Control & Audit: Conduct internal audits to assess compliance effectiveness and manage internal control systems.
Advisory: Provide guidance to business teams (Broking, Research, Wealth) on regulatory matters.
Policy Implementation: Maintain and update compliance policies, including Related Party Transactions (RPT) and Insider Trading frameworks.
Surveillance: Monitor trading activities to detect irregularities and manage surveillance alerts.
Grievance Handling:



Manage investor grievances and regulatory inquiries.
Education: Chartered Accountant (CA), Company Secretary (CS), or Bachelors degree in Law/Finance.
Experience: Generally requires 15 years of experience in compliance auditing or regulatory roles within the financial services sector.
Knowledge: Robust understanding of SEBI regulations, stock exchange bye-laws, and KYC/AML guidelines.
Skills: Excellent analytical, reporting, and communication skill

Typical Work Workplace & Location
Location: Primarily Mumbai (Corporate Office).
Mode: Full time, Workshop (WFO).
Institutional/Wealth Compliance: Managing compliance for Wealth Management, Equity, Commodity, Depository, and Research Analysts.
Governance: Overseeing Board and shareholder matters, including ESOP frameworks and CSR compliance.

📌 Compliance Officer Mumbai
🏢 Intellectual Capital HR Consulting
📍 Mumbai