Assistant Compliance Manager
On-site · Mumbai, Maharashtra, India
Job Summary
Assist with all aspects of compliance in stock broking, research and investment banking; 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.
Required Qualifications
- 8-14 years of experience in compliance and corporate secretarial in stock broking, research and investment banking
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