Compliance Officer

7 days ago


Alwarpet Chennai Tamil Nadu, India Optalon HR Consultant PVT LTD Full time

The Investment Banking Compliance Officer is responsible for ensuring that the firm's investment banking activities comply with all applicable laws, regulations, and internal policies. This role plays a critical part in mitigating compliance risk and safeguarding the firm's reputation.

**Responsibilities**

Review and approve investment banking transactions for compliance with regulations, including Know Your Customer (KYC) and Anti-Money Laundering (AML) rules.

Develop and implement compliance policies and procedures specific to investment banking activities.

Conduct risk assessments to identify potential compliance issues and recommend mitigation strategies.

Monitor employee activity for adherence to compliance policies and procedures.

Investigate potential compliance breaches and take appropriate corrective action.

Maintain awareness of changes in the regulatory landscape and update compliance programs accordingly.

Provide training and guidance to investment banking staff on compliance matters.

Liaise with regulators during examinations and audits.

**Qualifications**

Bachelor's degree in finance, law, or a related field.

Minimum of X years of experience in investment banking compliance or a similar role (X to be filled based on specific requirements).

Strong understanding of relevant laws and regulations governing investment banking activities, such as KYC, AML, and insider trading.

Excellent analytical and problem-solving skills.

Strong attention to detail and accuracy.

Excellent communication and interpersonal skills.

Ability to work independently and as part of a team.

Proficiency in Microsoft Office Suite and other relevant compliance software.

**Salary Package**:

- Competitive salary package of 3 to 5 lakh per annum.

**To Apply**:

- **WhatsApp**:
[+91 9176218 889

**Note**:
**Share with your network**

Best Regards,

Narendra Prasad

Optalon HR Consultant Private Limited

Pay: ₹360,000.00 - ₹600,000.00 per year

**Benefits**:

- Health insurance

Schedule:

- Day shift

**Education**:

- Bachelor's (preferred)

**Experience**:

- total work: 1 year (preferred)

Work Location: In person



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