Vice President - Recruitments at Confluence Consulting Pvt Ltd
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Compliance Officer - BFS (14-24 yrs)
Looking for Compliance Officer
Location : Mumbai
SHOULD HAVE BROKING exp - SEBI
1. The position would be independently in charge of Secretarial, Legal and Compliance Function, responsible to protect the company's reputation and compliance risk
2. Overview drafting, reviewing, negotiating, and settling legal and transactional documents & agreements; Preparing Contracts / Agreements.
3. Overview Preparing Manuals / Policy Documents as may be required. Coordinate with outside Counsel in case any matters are referred to them.
4. Managing Legal, Secretarial, Corporate Governance & Compliance activities
5. Ensure compliance with applicable laws, regulations as well as adherence to internal policies and procedures
6. Undertake research activities to provide inputs on legal matters.
7. Develop effective relationship and engagement with internal stakeholders, international stake holders, clients, business associates and other function groups. Advising on corporate legal and compliance matters.
8. Independent charge of the Secretarial, Corporate legal and Compliance function, responsible to protect the reputation and compliance risk
9. Responsible for complying with all the applicable provisions under the Companies Act, SEBI / Exchange rules and regulations, Prevention of Money Laundering Act, FEMA.
10. Responsible to protect the interest of the company, stakeholders, and directors by complying with the requirements of applicable statutes and monitor the compliance with guidelines applicable to the company
11. Managing secretarial activities such as holding Board and Committee Meetings, overviewing preparation of agenda and minutes, liaisoning with sponsors, shareholders, directors, and regulators.