AK Capital - Compliance Officer - CS/LLB (10-12 yrs)

Job Profile:

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 and/or Online Bond Platform Providers.

- SEBI (Intermediaries) Regulations, 2008

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

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

- Standard Operating Procedures

- Policy framework

- Agreements/ Contracts with third party vendors, distributors and service providers

- Website Terms and Conditions, Privacy Policies and Disclaimers etc.

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

Competency:

- Thorough understanding of financial products. Candidates having a knowledge of fixed income instruments will have an added advantage

- Good communication & interpersonal skill

- Well versed with MS office tools (Excel and Word)

Experience: 10-12 years

Qualification: CS (preference L.L.B.)

Industry Preferred: Financial Services (Broking)