Manager at William O'Neil Co. Inc
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William O'Neil - Compliance Officer (2-8 yrs)
We are looking for a Compliance Officer with 5- 8 yrs of experience in corporate compliance functions in NBFCs/SEBI registered institutions.
- Ensure compliance to all relevant regulatory provisions issued by SEBI for Investment Advisors and Research Analysts for registration and trading.
- Draft comprehensive company policies in line with the SEBI circulars, regulations, and RBI guidelines and put appropriate mechanisms in place to ensure that the compliance program is fully executed and meets regulatory expectations.
- Facilitate timely registration of Research Analysts under the SEBI board while ensuring that they meet relevant qualification and certification requirements.
- Frame a code of conduct in line with the principles set out by regulatory bodies concerning the content of research reports and their distribution, making recommendations in media, and disclosure requirements, among others.
- Provide routine training to Research Analysts to warrant proper understanding and adherence to the company's compliance policies.
- Take regular disclosures/ declarations to ensure compliance with SEBI trading policies and guidelines for research team.
- Stay up-to-date with SEBI policies and other relevant news, and update management and team on any changes in the regulatory environment.
- Conduct regular and thorough internal audits to verify that procedures were followed, any omissions identified, and corrective actions taken and duly documented