Compliance Officer, Compliance

Key Areas of Responsibilities

• 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/half-yearly/yearly/ad-hoc basis.
• Assist in formulating and implementing Compliance policies
• Assist in Client On-boarding related activities (including KYC/ AML checks)
• Independently handling all audits and inspections
• Handling all Corporate Secretarial function of CLSA India

Requirements

• 8 - 14 years of experience, as compliance officer and corporate secretary in Stock Broking, Research and Investment Banking firm in the Compliance & Corporate Secretarial function
• Company Secretary
• Postgraduate from a well-recognized university
• LLB is preferable but not a must.
• Strong written and verbal communication skills

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