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