Key Areas of Responsibilities

* Advice and assist with all aspects of compliance function relating to stock
broking, research and investment banking

* Advice & lead all company secretarial work streams of the entities in India.

* Experience with SEBI, AML and FIU related requirements

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

* Independent handling of 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)

* Independently handling all audits and inspections





* Handling all Corporate Secretarial function of CLSA India

Requirements

* 8 - 14 years of experience, as compliance officer and corporate secretary in
Stock Broking, Research and Investment Banking firm in the Compliance &
Corporate Secretarial function

* Company Secretary

* Postgraduate from a well-recognized university

* LLB is preferable but not a must.

* Robust written and verbal communication skills

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📌 Compliance Officer, Compliance (Mumbai)
🏢 CLSA
📍 Mumbai