William O'Neil - Lead - Compliance

William O'Neil India is part of an international team of IT innovators and market data researchers, who power an exclusive set of global equity research products. Our research team tracks all the major international stock exchanges and equities, and our IT developers advance the utility of investing applications used worldwide. William O'Neil India is a subsidiary of William O'Neil + Co. in the U.S.

The O'Neil Companies

For the past half-century, the O'Neil companies have created innovative services to support the equity investing community. All these services are guided by a method of investing created by William J. O'Neil that has helped thousands of institutional and retail investors succeed in the market.

Responsibilities :

- 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

Candidate to have understanding on the below compliance.

1. Research Analyst - Compliance and Guidelines

2. Research Advisory - Compliance and guidelines

3. AIF /PMS compliance and guidelines