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.

Compliance Officer - BFSI - US/Canada 

Compliance Officer - BFSI - US/Canada  ,Job Description for Compliance Officer - BFSI - US/Canada  in Arin Consultancy Pvt. Ltd. in  US for (7-12) years of experience. Apply Now!

Job Description for Compliance Officer - BFSI - US/Canada  in Arin Consultancy Pvt. Ltd. in  US for (7-12) years of experience. Apply Now!