Compliance

Job Location- Mumbai- Experience (in Years)- 3 - 7- Job Type- Full Time**Job Description**:
Core Purpose of the Role: - This role reports to the Compliance officer with a primary objective to effectively manage and run a fully compliant business in the highly regulated business of financial services. The role extends across all group entities & businesses. - To ensure full business related statutory compliance for all business segments existing & future, including but not restricted to Investment Banking, Portfolio Management, Stock Exchange Membership driven Brokerage, OTC transactions, Proprietary Investments & trading, and Distribution - Mutual Funds, Bonds, FD’s and other products,. - To assist compliance officer / advise business heads about compliance requirements for all / any transactions in the various business areas, with special focus on the rules & guidelines of SEBI, RBI, Exchanges, and other regulators such as FIMMDA,, and enforce the same through ensuring compliant processes and periodic team driven audits. This includes requirements related to KYC, trades, settlements, resolutions, and reporting. Indicatively the laws include SEBI Act, SEBI Rules, Depositories Act, ICDR (issue of capital & disclosure requirements), regulatory framework related to Securities Market intermediaries, AML / PMLA (prevention of money-laundering act) and Insider Trading regulations (SEBI-prohibition of insider trading regulations). - To be able to draft relevant yet easy to implement compliance related policies (finally leading to a compliance manual) which would include basic business processes for transacting the routine business of the company covering multiple regulations for the businesses such as PMS, Brokerage, Investment Banking, Distribution. This will include entity & business structure, transactions & special / critical laws such as AML & Insider trading regulations. - To ensure that all financial transactions including equity or debt issuance, borrowing, lending, money management client transactions of all types, brokerage transactions, investment banking transactions, underwriting transactions, settlements are fully compliant with all relevant rules, laws & regulations prevalent in India from time to time. - To facilitate compliance related regulatory audits across all the businesses of the group. - To evaluate & oversee the development / use of specialized financial structures from a compliance perspective as and when sought by business teams, and also deal with external legal advisors for the same. As and when required, to liase with & work closely with Law firms, Company Secretarial firms, and any such external / third parties that the group may engage with from time to time for Public issues / Pvt placements. Attribute: - Good understanding of the regulatory framework in financial businesses in India from a compliance perspective across multiple laws & regulators. - Understanding of formal communication protocols with regulators, exchanges, & relevant government departments is essential - Good relationship building skills - Excellent communication skills, Interpersonal skills & adaptable. CONFIDENTIAL - Focused approach towards completion & compliance. - Capability to deal with a diverse set of stakeholders including management, leadership team, other employees, as well as auditors, exchanges, regulators, authorities and external consultant

About Company

Upman Placements is a firm of Researcher & Recruitment Specialists. The company started life in 2002 in India as a recruitment specialist firm. The company has built a stellar reputation for high ethical standards, a specialized focus and unparalleled service. Emerged As one of the only truly global specialized staffing firms focusing exclusively in professional positions for our clients spread across more than 20 countries with a sizable presence across industry levels. With footprints in competitive markets of India, Europe, United Kingdom, Middle East, Singapore, Malaysia, Philippines, Indonesia, Brunei and East & Central African countries.