Job Summary: To safeguard against Regulatory/Compliance risks and operations related to BSE, NSE and MCX exchange for cash, F&O; segment, currency derivative segment and commodities segment within the regulatory/legal framework and complies with its applicable rules & regulations as well as with Societe Generale Group policies.
Main Responsibilities:
To ensure filing of all regulatory reports in time with exchanges/SEBI/MCA.
To review circulars or guidelines issued by SEBI/Exchanges/CCP/MCA on daily basis and ensure for completion in time by coordinating with other relevant departments
To assist Head Compliance in Policies and Procedures and also on the guidelines issued by Exchanges/SEBI.
To co-ordinate with other departments on regulatory inspection or internal audits/inspection.
To work with regional teams on group projects and co-ordinate with regional business line for India related market and compliance issues.
To prepare secretarial records in accordance with Company Law and organize Board/Committee meetings and coordinate with external retainer on Secretarial matters.
To perform surveillance checks and Financial Crime checks
To provide training to staff and to perform PS controls
Required
Profile required
Academic Background (degree and major):
Graduate (in any field – LLB/ B.A/ B.Com)
Company Secretary Degree (Associate member) - mandatory
NISM III A certificate (preferred)
Relevant Working Experience in number of years: Minimum 8 years of overall work experience with 4-7 years of relevant experience in compliance function preferably from Broking firms.
Skills & Competencies required:
Knowledge of SEBI and Exchange rules & regulations, Company Law.
To be up to date on all the regulatory amendments applicable to the Company and also changes in the Group policies.
Analytical thinking
Stakeholder management
High integrity
Language Skills: English
Computer Skill: Excel, Word, Power point
Business insight
Societe
📌 Associate (AVP) – Compliance, Societe Generale Securities India (Mumbai)
🏢 Société Générale
📍 Mumbai
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