jobseeker Logo
Now Apply on the Go!
Download iimjobs Jobseeker App and get a seamless experience for your job-hunting
05/12 HR
HR Consultant at COE Solution

Views:511 Applications:92 Rec. Actions:Recruiter Actions:83

Manager - Compliance - Securities Market - CS/LLB (5-10 yrs)

Mumbai Job Code: 1189415

Manager - Compliance-Securities Market

Qualification CS + LLB with 5 Year experience in Securities Market

Experience required in:

- SEBI/IFSCA - Alternative Investment Fund Compliances

- KYC and Anti Money Laundering Compliance

- Insider Trading Monitoring

- Drafting of policies and procedures

- ROC and Secretarial compliances

- SEZ Compliances

- Legal drafting and vetting

Job role:

1. Prepare substantial written responses to regulatory requests and Examination Reports

2. Provide Compliance support for municipal sales and trading desk (retail compliance experience a plus) and Public Finance, related support functions

3. Identifying risks inherent in the conduct of the prime brokerage and clearing business, and implementing strategic and tactical means of addressing such risks

4. Testing controls and processes in the prime brokerage and clearing business for effectiveness, and reviewing business conduct for potential issues

5. Advising the business regarding the rules, regulations and firm policies relating to the firm's providing prime brokerage and clearing services for its clients

6. Provide daily advisory support business management

7. Be responsible for implementation Corporate Compliance Policies and procedures regarding customer due diligence, internal controls, reviews of advertising and Marketing materials, conduct annual and specialized training, and execute special projects as assigned within his perimeter of responsibilities

Women-friendly workplace:

Maternity and Paternity Benefits

Add a note
Something suspicious? Report this job posting.