Candidate is expected to perform a dual role of a Compliance Officer and Company Secretary for the firm. Direct reporting to the Head of India with dotted reporting line to a Group Head of Legal.
What You’ll Be Doing:
- Managing the Company Secretarial activities for the firm in line with The Indian Companies Act, RBI, MCA and other relevant regulatory regulations to ensure compliance well within the timeframe.
- Coordinating, attending, and taking minutes for board and committee meetings, and ensuring all administered actions comply with the applicable regulations
- Handling documentation required for new exchange membership set ups.
- Compile and manage the required documentation and filings for regulatory and legal entities
- Maintain databases with all resolutions, policies, procedures, by-laws and regulatory correspondence.
- Advise management on the company’s compliance with laws and regulations through detailed reports.
- Drafting the firm policies and keeping them abreast with the change in the regulatory requirements including SEBI’s Cyber Security & Cyber Resilience framework for the Stock Brokers.
- Managing anti-money laundering (AML) compliance for the firm including due diligence, risk assessment, creating policies and procedures adhering to the key stages such as 'placement', where illegal funds are introduced into the financial system, 'layering', which involves complex transactions to hide the source of funds, and 'integration', where 'clean' money is reintegrated into the economy.
- Reporting / updating the Exchange and other regulatory compliance filings, records and systems relevant to broker-dealer registrations, employee certifications and other similar legal and compliance functions on a periodic basis well before the due dates.
- Co-ordination and management of periodical regulatory audits such as Internal, Systems, Cyber, Exchange and regulatory audits and clean closure of the same.
- Resolution of Exchange and Regulatory alerts / investigations/ suspicious activity and communicate with India Head and regional compliance and communicate the progress of any reviews and investigations and highlight high-risk matters or regulatory issues.
- Conducting employee compliance training, testing of compliance policies and procedures in support of periodic certifications and reviews.
- Organizing and coordinating follow-up items with responsible internal teams / external parties, ensuring prompt execution of tasks and resolution of issues and management of records.
- Timely provision of accurate and comprehensive information, documents and materials to the international group on senior management request.
- Enthusiasm to learn, coupled with a solid work ethic and prioritize tasks and respond to changing priorities in a client service context. -
What We Look For In You:
- Should be a member of “The Institute of Company Secretaries of India (ICSI)” with a valid membership license as on the date of application.
- Close to 7 years of work experience in a compliance department for a trading firm, regulator, or other financial services firm environment.
- A thorough understanding of Business Rules, Bye Laws and various regulatory provisions of SEBI and various exchange’s (NSE, BSE, MCX, NCDEX etc.)
- NISM NISM-Series-III-A : Securities Intermediaries Compliance (Non-Fund) Certification (should be ready before joining the firm)
- NISM-Series-VII: Securities Operations and Risk Management Certification (should be ready before joining the firm)
- NISM-Series-VIII: Equity Derivatives Certification (can be acquired after joining the firm)
- No regulatory open cases.
Why Should You Join Our Team?
- Great challenges with fast feedback loops
- A welcoming group of highly qualified international professionals
- Comfortable office in Mumbai
40 paid days off
- Competitive salary