Interesting Opportunity AK Capital - Compliance Officer - CS/LLB

You will be responsible for ensuring compliance with various regulations including SEBI (Stock-Brokers) Regulations, SEBI (Non-Convertible Securities) Regulations, SEBI (Intermediaries) Regulations, and Prevention of Money Laundering Act. This involves drafting, vetting, reviewing, and negotiating legal documents such as Standard Operating Procedures, Policy frameworks, Agreements/Contracts with third-party vendors, distributors, and service providers, as well as Website Terms and Conditions, Privacy Policies, and Disclaimers. Additionally, you will be required to ensure compliance with circulars, notifications, and guidelines issued by stock exchanges, conduct impact analysis of the regulatory framework, and liaise with management to prepare and implement compliance calendars. Experience in handling internal, statutory audits & inspections from Stock Exchanges and SEBI will be necessary. Furthermore, you will be expected to liaise with Stock Exchanges, Clearing Corporations, SEBI, and have a thorough understanding of financial products. Knowledge of fixed income instruments will be an added advantage. Good communication and interpersonal skills are essential for this role, along with proficiency in MS Office tools such as Excel and Word. The ideal candidate should have 10-12 years of experience, with a qualification in CS (preference for L.L.B.). Industry experience in Financial Services (Broking) will be preferred.,