Associate Director - Compliance Institutional Brokerage Investment Services
Associate Director - Compliance Institutional Brokerage Investment Services
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Job Description
The Compliance & Legal team is responsible for Country Coverage for Compliance Legal and Company Secretarial functions for all business lines products and entities in India. Apart from being responsible to the Management in India as its main stakeholder the team works closely with Global Compliance and Legal Heads AntiMoney Laundering Heads Central Compliance Control Room etc. for respective managerial support and practice areas as applicable. The team also interacts with clients if necessary for matters including but not limited to client onboarding surveillance and empanelment.
- Advice and assist with all aspects of compliance function relating to stock broking research and investment banking
- Advice & lead all company secretarial work streams of the entities in India.
- Experience with SEBI AML and FIU related requirements
- Overall assistance to team in various Compliance Monitoring activities (Transaction Monitoring resolving Internal Surveillance System alerts RBS submissions FIU related etc.)
- Independent handling of all regulatory filings to be filed with SEBI Exchanges and Group Compliance on monthly/quarterly/halfyearly/yearly/adhoc basis.
- Assist in formulating and implementing Compliance policies
- Assist in Client Onboarding related activities (including KYC/ AML checks)
- Independently handling all audits and inspections
- Handling all Corporate Secretarial function.
Skills:
- 7 10 years of experience as compliance officer and corporate secretary in Stock Broking Research and Investment Banking firm in the Compliance & Corporate Secretarial function.
Educational Qualifications:
- Company Secretary
- Post graduate from a well recognized university
- LLB is preferable but not a must.
Compliance Officers,Company Secretarial Work,SEBI Regulations,AML,FIU,Compliance Management,Compliance Monitoring,Regulatory Filings,Transaction monitoring,Group compliance,compliance policies
Employment Type
Full Time
