Compliance Officer

4 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

  • Governance, Risk

    1 week ago

    Chennai, Tamil Nadu, India Equiniti Full time

    Management Level G **Role Summary** The Junior Governance, Risk & Compliance Officer supports the P&E involvement in Audit, Risk and Compliance activities. **Professional Responsibilities**: - SFIA Responsibility Level: 1 - Follow - Governance: Follows the governance framework - Risk: Undertakes basic risk management activities. - Audit: Supports the...

  • Company Secretary

    4 days ago

    Chennai, Tamil Nadu, India Amakshar Technology Full time

    Hiring Company Secretary & ROC Compliance officer!!! Experience-Minimum 5yrs Job Location-Abiramapuram, Chennai **Job Types**: Full-time, Permanent **Salary**: ₹40,000.00 - ₹50,000.00 per month Schedule: - Day shift **Experience**: - total work: 1 year (preferred) Ability to Commute: - Chennai, Tamil Nadu (required) Ability to Relocate: -...

  • Compliance Officer

    1 week ago

    Chengalpattu, Chennai, Tamil Nadu, India Adduco Full time

    Hanlding social compliance Documentation revisions in terms of product compliance, EHS, FSC and Oekotex 100 Determining policies and targets for systems such as EHS, ,Oekotex, FSC Following the legal regulations regarding OHS - Well versed in the documentation of HIGG-FEM, HIGG-FSLM, SMETA and Amfori BSCI. Industry: Garments **Salary**: ₹50,000.00 -...

  • Chief Accounts Officer

    1 week ago

    Alwarpet, Chennai, Tamil Nadu, India McGAN's Ooty School of Architecture Full time

    **Key Responsibilities**: - Oversee and manage the accounting department, ensuring compliance with accounting - standards and regulations. - Prepare and present financial reports to the executive team and stakeholders. - Manage budgeting, financial planning, and analysis.Collaborate with other departments to enhance financial performance and...

  • Legal Compliance Officer

    1 week ago

    Chennai, Tamil Nadu, India, Tamil Nadu Wenger & Watson Full time

    Responsibilities: The Process Associate will be responsible for, but not limited to, the followingtasks: Review and draft agreements, along with other related documents such as board consents. Maintain accurate records related to the legal and operational structure of US entities,ensuring compliance with internal policies and US corporate law....

  • Compliance Officer

    4 weeks ago

    Chennai, India MTC Business Full time

    Position Summary: The Industrial Compliance Officer will be responsible for ensuring 100% statutory and regulatory compliance for the steel plant. This includes managing all legal obligations under central, state, and local laws related to industrial operations, environmental norms, labour welfare, safety, and licensing. The role demands proactive...

  • Statutory Compliance

    16 hours ago

    Chennai, Tamil Nadu, India Aparajitha Corporate Services Ltd Full time

    We have vacancy for Compliance Executive Exp: 1 to 2 yrs Qualification: any Graduates/ MBA **Salary**: 15000/- to 18000/ - Job Roles and Responsibility - To handle all Payroll & Establishment related compliance activities of clients i.e. PF, ESIC, LWF, PT etc. - Ensure timely remittance of statutory payments, timely filling of EPF monthly contribution. -...

  • Company Secretary

    1 week ago

    Chennai, Tamil Nadu, India, Tamil Nadu ARKVR CAPITAL Full time

    Role DescriptionCompany Secretary and Compliance Officer for one of our Client Company based at TiruppurQualifications / ExperienceQualified Company SecretaryMinimum 2 Years of ExperienceExperience in Listed Entities is added AdvantageLocationThis Position will be initially based at Tiruppur (Factory) and eventually be moved to Corporate Office to be based...

  • Company Secretary

    3 days ago

    Purasawalkam, Chennai, Tamil Nadu, India Shrinithi Insurance Broking Pvt Ltd Full time

    **Job Title**: Corporate Secretary **Location**: Chennai **Job Type**: Full-Time **Key Responsibilities**: - Ensure compliance with corporate laws, rules, and regulations. - Manage company records, statutory registers, and secretarial documents. - Draft, review, and file necessary documents with regulatory authorities. - Organize and prepare minutes for...

  • Ir Officer

    1 week ago

    Coimbatore, Tamil Nadu, India Lakshmi Machine Works Full time

    Org Structure - IR - Total Employee Involvement / IR - Job posted on - Nov 06, 2024 - Employee Type - Staff - Experience range (Years) - 0 - N.A. IR Officer - TEI & Compliance