Assistant Compliance Manager, Compliance

10 hours ago

Mumbai, Maharashtra, India CLSA Full time ₹ 9,00,000 - ₹ 12,00,000 per year

Position Description

Designated Company Secretary and hence a KMP. Also, an Associate Compliance Manager reporting into the head of Compliance & legal for CLSA - India

Key Areas of Responsibilities

  • Handling all Staff dealing Compliances & all necessary Certifications at entity level & employee level

  • Responsible for all corporate secretarial matters

  • Imparting Compliance-related training to employees including new joiner induction

  • Overall assistance to team in various Compliance Monitoring activities (Transaction Monitoring, resolving Internal Surveillance System alerts, RBS, audits, inspections, FIU related etc.)

  • Assisting with surveillance & communications

  • Assistants with all regulatory filings to be filed with SEBI, Exchanges and Group Compliance on monthly/quarterly/half-yearly/yearly/ad-hoc basis

  • Assist in formulating and implementing Compliance policies

  • Assist in Client On-boarding related activities (including KYC/ AML checks)

  • Handling all corporate secretarial work of all CLSA entities in India

Requirements

  • Certified Company Secretary

  • Graduate or Postgraduate from any discipline. LLB (preferable but not mandatory)

  • Minimum 3 years of relevant experience in any regulated organization

  •  Good working knowledge of Excel, Word and Power Point

  • Excellent command in English fluent in both spoken and written

  • Must have working knowledge of company secretarial matters of any regulated entity

  • Strong communication skills, interpersonal skills, self-starter, team player, able to multitask.

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