Compliance Associate - Financial Service Firm

We have a opening for the post of Compliance Associate for andheri location.

Our company is a business leader and one of the largest financial services firms in the U.S. has an immediate need for a Compliance Associate in our Mumbai office. This position has excellent growth potential for highly motivated and exceptional performers.

Job Description and Responsibilities

The ideal candidate with some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD) or similar organization. Other acceptable experience would include internal audit, legal, accounting or other control function of a financial services firm or regulator.

- working in compliance department of a large/medium sized broking house.

- Review client documents for account approvals and enquiries

- Obtain mandatory documents and reports as per KYC requirements

- Perform necessary checks (3rd parties and regulatory website etc.)

- Investigating factual and regulatory rule background behind client trading and financial activity

- Creating, reviewing and following up on surveillance reports of financial and trading activity

- Assisting with Anti-Money Laundering Program

- Updating policies and procedures and verifying implementation.

- Interacting with various departments within the organization to meet deadlines.

Kindly revert as its urgent position.