The Associate Director, Compliance advises on compliance with stockbroking and investment banking; handles audits, regulatory filings, and corporate secretarial functions.
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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