Associate (AVP) – Compliance

Job Description:

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

Qualification & Experience 

• 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.

• 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