Compliance Officer - BFSI

We are looking out for a candidate for US Office, and his / her profile would be as follows;

- Acts as Compliance Officer and ensuring all regulatory requirements and license condition(s) for US & Canada;

- Monitoring and guiding CEO and Head-Compliance regularly on Do's and Dont's with respect to marketing of various product in US and Canada;

- Vetting of all marketing and distribution material(s) and ensuring proper disclaimers / legends in the materials;

- Maintenance of various regulatory records and registers, filing of regulatory and other returns, do necessary registration of products with regulators and maintain a good professional relationship with Regulators;

- Effectively handling SEC / FINRA inspection and / or audit from time to time;

- Provide necessary advise on PFIC and FATCA related process and compliances;

- Proper evaluation / KYC of every client on-boarded and ensuring it meets the regulatory requirement like client being an accredited or institutional client;

- Ensuring necessary compliance as detailed in the Compliance Manual and regularly update the Compliance Manual;

- The candidate with a compliance / law experience (at least 6-7 years- experience) in SEC laws and compliances, currently located in US or having necessary Visa to immediately re-locate to US, will be considered.

- He/she should possess necessary qualification to acts as Compliance Officer for Advisory and Broker - Dealer activities.