Compliance Officer

2 weeks ago

Varanasi, India Lakshmishree Investment & Securities Full time

**Total years of Experience: 1 to 2 years**

We are looking for a Compliance Officer to ensure that our operations and business transactions follow all relevant legal and internal rules. You will also review employees’ work and provide advice on compliance.

To succeed in this role, you should be a reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with risk management and our industry’s standards. If you also have a sharp business acumen, we’d like to meet you.

Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.

**Responsibilities**
Develop and implement an effective legal compliance program
Create sound internal controls and monitor adherence to them
Draft and revise company policies
Proactively audit processes, practices and documents to identify weaknesses
Evaluate business activities (e.g. investments) to assess compliance risk
Collaborate with external auditors and HR when needed
Set plans to manage a crisis or compliance violation
Educate and train employees on regulations and industry practices
Address employee concerns or questions on legal compliance
Keep abreast of internal standards and business goals

**Requirements and skills**
Proven experience as a Compliance Officer or Compliance Manager
Experience in risk management
Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
Familiarity with industry practices and professional standards
Excellent communication skills
Integrity and professional ethics
Business acumen
Teamwork skills
Attention to detail
Good to have BSc/BA in law, finance, business administration or a related field
Good to have professional certification (e.g. Certified Compliance & Ethics Professional (CCEP))

Must have work into an broking firm

**Salary**: ₹205,880.67 - ₹400,800.00 per year

Schedule:

- Day shift

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