Assistant Compliance Manager, Compliance
ConfidentialMumbai, India11 days ago
Job descriptiontsCertified Company Secreta ryGraduate or Postgraduate from any discipline. LLB (preferable but not mandator y)Minimum 3 years of relevant experience in any regulated organizati onGood working knowledge of Excel, Word and Power Poi ntExcellent command in English fluent in both spoken and writt enMust have working knowledge of company secretarial matters of any regulated enti tyStrong communication skills, interpersonal skills, self-starter, team player, able to multitas
Position Description
Designated Company Secretary and hence a KMP. Also, an Associate Compliance Manager reporting into the head of Compliance & legal for CLSA - India
Key Areas of Responsibilitie
- sHandling all Staff dealing Compliances & all necessary Certifications at entity level & employee leve
- lResponsible for all corporate secretarial matter
- sImparting Compliance-related training to employees including new joiner inductio
- nOverall assistance to team in various Compliance Monitoring activities (Transaction Monitoring, resolving Internal Surveillance System alerts, RBS, audits, inspections, FIU related etc.
- )Assisting with surveillance & communication
- sAssistants with all regulatory filings to be filed with SEBI, Exchanges and Group Compliance on monthly / quarterly / half-yearly / yearly / ad-hoc basi
- sAssist in formulating and implementing Compliance policie
- sAssist in Client On-boarding related activities (including KYC / AML checks
- )Handling all corporate secretarial work of all CLSA entities in Indi
Requiremen
k.
Skills Required
Aml, Word, Kyc, Excel
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Compliance Manager • Mumbai, India
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