Responsibilities
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
📌 Associate (AVP) – Compliance, Societe Generale Securities India (Mumbai)
🏢 Société Générale
📍 Mumbai
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