Associate - Legal & Compliance - BFS

Role Description : Analyst/ Associate - Compliance & Legal in the Compliance & Legal Team

Job Title : Associate

Employment Location : Mumbai Reporting to: Compliance & Legal Head

Position Type : Permanent

Department Summary :

The Compliance & Legal team is responsible for Country Coverage for Compliance, Legal and Company Secretarial functions for all business lines, products and entities in India. Apart from being responsible to the Management in India as its main stakeholder, the team works closely with Global Compliance and Legal Heads, Anti-Money Laundering Heads, Central Compliance, Control Room etc for respective managerial support and practice areas as applicable. The team also interacts with clients, if necessary, for matters including but not limited to client on-boarding, surveillance and empanelment.

Job Responsibilities :

- Independent handling of all regulatory filings to be filed with SEBI, Exchanges and Group Compliance on monthly/quarterly/half-yearly/yearly/ad-hoc basis.

- Overall assistance to team in various Compliance Monitoring activities.

- Assist in formulating and implementing Compliance policies

- Assist in Client Onboarding related activities

- Handling Employee Compliances

- Supervising the Personal Account Trading system and otherwise monitoring its efficacy

- Imparting Compliance-related training to employees

Essential Skills and Experience :

- 5 years of experience, preferably in Stock Broking and Investment Banking firm in the Compliance function

- Excellent drafting skills

- Experience in handling SMARTS preferable

Educational / Professional Qualifications :

- CS/LLB/CA/ICWA/MBA or any other equivalent professional qualification

- CS and LL.B preferred, but not a must