Junior Compliance Officer

4 weeks ago

Mumbai, India Kaapro Management Solutions Full time

Opening: 1 Nos.- Job ID: 56065- Employment Type: Contractual- Reference:
- Work Experience: 2.0 Year(s) To 4.0 Year(s)- CTC Salary: 5.00 LPA TO 7.00 LPA- Function: Accounts / Finance / Tax / CS / Audit- Industry: Account/Finance/Tax consulting- Location:

- Mumbai

Posted On: 08th Mar, 2023
**- **Minimum experience of 2 years in banking or financial services, handling Audit/Finance/Compliance/ Legal/Operations/Risk Management functions**:

- Develop and maintain the firm's compliance program, including policies, procedures, and controls to ensure compliance with all applicable laws, regulations, and industry standards.
- Conduct regular compliance risk assessments to identify potential areas of non-compliance and develop appropriate strategies to mitigate these risks.
- Monitor changes in regulatory requirements and industry trends and provide guidance to the firm's management and staff on compliance matters.
- Develop and deliver compliance training programs to educate staff on their responsibilities and obligations under relevant laws and regulations.
- Ensure that the firm's compliance program is effectively communicated to all staff, and that the firm's management and staff are aware of their obligations and responsibilities.
- Develop and maintain effective relationships with regulatory authorities and other relevant stakeholders.
- Conduct investigations of compliance incidents and work with the firm's management to develop appropriate remedial actions.
- Produce reports on compliance issues, including regulatory filings, management reports, and other documentation as required.

**Key Skills**:

- Compliance
- Audit

**Company Profile**:
The Client is a leading quantitative-driven electronic market-maker partnering with counterparties, exchanges and e-trading venues globally to provide liquidity in the Equity, FX, Fixed Income and Commodity -. The provide consistent liquidity, helping market participants throughout the world obtain the best prices in the various assets classes we cover, regardless of changing market conditions.

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