Compliance Officer, Compliance
About the role
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.
Strong written and verbal communication skills
Stay informed on CITIC CLSA Job Opportunities
Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.
Questions about this role
Want AI Applyd to auto-apply to roles like this?
We tailor your resume per posting, fill the forms, and track replies for you.