CLSA Jobs

Compliance Officer, Compliance

CLSA

Compliance Officer, Compliance

Reposted 15 Days Ago

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In-Office

Mumbai, Maharashtra, IND

Senior level

In-Office

Mumbai, Maharashtra, IND

Senior level

Provide compliance oversight for stock broking, research, and investment banking: lead company secretarial functions, manage SEBI and exchange filings, perform compliance monitoring (transaction monitoring, surveillance alerts, RBS/FIU submissions), support KYC/AML onboarding, handle audits/inspections, and assist policy formulation.

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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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