Assistant Compliance Manager with MNC Institutional Brokerage & Investment Services

Key Areas of Responsibilities

• Handling all Staff dealing Compliances & all necessary Certifications at entity level & employee level
• Responsible for all corporate secretarial matters
• Imparting Compliance-related training to employees including new joiner induction
• Overall assistance to team in various Compliance Monitoring activities (Transaction Monitoring, resolving Internal Surveillance System alerts, RBS, audits, inspections, FIU related etc.)
• Assisting with surveillance & communications
• Assisting with 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)
• Handling all corporate secretarial work of all entities in India

Requirements

• Certified Company Secretary
• Good working knowledge of Excel, Word and Power Point
• Excellent command in English fluent in both spoken and written
• Must have working knowledge of company secretarial matters of any regulated entity
• Strong communication skills, interpersonal skills, self-starter, team player, able to multitask.

Experience: Minimum 3 years of relevant experience in any regulated organization

Qualification: Graduate or Postgraduate from any discipline. LLB (preferable but not mandatory)