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Compliance Officer (Stock Broking)
Compliance Officer (Stock Broking)
Ak Capital Services Limited's logo

Compliance Officer (Stock Broking)

Dhirendra Singh's profile picture
Posted by Dhirendra Singh
4 - 6 yrs
₹15L - ₹25L / yr
Mumbai
Skills
Secretary
Compliance

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:

  • 5-7 years Qualification: CS (preference L.L.B.)
  • Industry Preferred: Financial Services(Broking)
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About Ak Capital Services Limited

Founded :
1998
Type :
Services
Size :
100-1000
Stage :
Profitable

About

601-603, 6th Floor,

Windsor, Off CST Road, Kalina,

Santacruz (East), Mumbai 400 098, India.

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Candid answers by the company

What does the company do?
What is the location preference of jobs?

A. K Group, founded by Mr. A.K Mittal with a vision to operate and develop the Indian debt capital markets which were in nascent stage. A. K Group over the period has emerged as one of the most vintage and trusted Bond Houses of India operating since 1998, aimed at providing the most competent solutions to its clients. Proficient at the Fixed Income market Segment of the Indian Economy, the group works towards its definitive motive of “A Bond in every hand”.


A. K. Group offers varied range of financial products and services in the Fixed Income market like Investment Banking, Broking & Distribution, Advisory Services, Financing and Structured Products, Alternate Funds Management (AIF).

Company social profiles

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