Regulatory Compliance Officer

7 days ago

Mumbai Maharashtra, India Millennium Management Full time

Regulatory Compliance Officer

**Principal Responsibilities**
- This role is heavily focused on regulatory compliance, trade monitoring and surveillance, SEBI rules & regulations.
- Advise on a full range of compliance and regulatory issues associated with Millennium’s growing research business in India and offshore FPI investing into India, working closely with offshore compliance product specialists/trading teams and onshore/offshore management.
- Research and analyze all relevant compliance issues, risks and developments, and provide recommendations to mitigate such issues/risks and prepare for such developments by drafting, amending, designing and implementing appropriate policies, procedures and controls;
- Undertake monitoring and surveillance in relation to such policies, procedures and controls;
- Conduct internal reviews on and, as appropriate, develop, enhance and maintain such policies, procedures and controls;
- Conduct internal investigations/risk assessments into a variety of compliance related matters;
- Maintain relationships with SEBI and other local regulators (as well as stock exchanges, depositories, etc.) and prepare for and respond to regulatory inquiries, inspections and surveys as relevant/appropriate;
- Closely collaborate and communicate with Asia compliance and global compliance teams;
- Prepare reports and maintain accurate records of compliance activities, including regulatory communications;
- Assist country, regional and global compliance teams on any ad hoc tasks and projects as may be assigned from time to time;
- Liaise with local counsel, custodians and brokers on regulatory/compliance issues;
- Participate in local industry groups as appropriate.

**Qualifications/Skills Required**
- 10-12 years’ experience at a financial institution or similar organization working on compliance matters;
- Strong knowledge of SEBI rules and regulations, in particular those relating to research and FPIs, and experience responding to inquiries from and managing investigations by SEBI and other local regulators;
- Experience conducting internal investigations;
- Ability to work with various departments in Millennium and build smooth working relationships;
- Able to prioritize in a fast moving, high pressure, constantly changing environment;
- Strong analytical and problem-solving skills;
- Growth mindset;
- Detail oriented;
- Strong communication skills; and
- Bachelor’s/Post Graduate degree(s) in Finance, Economics, Law or similar field (preferred).

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