Assistant Compliance Manager with MNC Institutional Brokerage & Investment Services

Riverforest Connections Private Limited

Job Location:

Mumbai - India

Monthly Salary: Not Disclosed

Posted on: 5 hours ago

Vacancies: 1 Vacancy

Job Summary

Key Areas of Responsibilities

Handling all Staff dealing Compliances & all necessary Certifications at entity level & employee level
Responsible for all corporate secretarial matters
Imparting Compliance-related training to employees including new joiner induction
Overall assistance to team in various Compliance Monitoring activities (Transaction Monitoring resolving Internal Surveillance System alerts RBS audits inspections FIU related etc.)
Assisting with surveillance & communications
Assisting with all regulatory filings to be filed with SEBI Exchanges and Group Compliance on monthly/quarterly/half-yearly/yearly/ad-hoc basis
Assist in formulating and implementing Compliance policies
Assist in Client On-boarding related activities (including KYC/ AML checks)
Handling all corporate secretarial work of all entities in India

Requirements

Certified Company Secretary
Good working knowledge of Excel Word and Power Point
Excellent command in English fluent in both spoken and written
Must have working knowledge of company secretarial matters of any regulated entity
Strong communication skills interpersonal skills self-starter team player able to multitask.

Experience:Minimum 3 years of relevant experience in any regulated organization

Qualification:Graduate or Postgraduate from any discipline. LLB (preferable but not mandatory)

Required Skills:

complianceCompany Secretarial Workcompany secretarySEBIregulationsKYCAMLOnboardingCompliance ManagementCompliance Policies

Key Areas of Responsibilities Handling all Staff dealing Compliances & all necessary Certifications at entity level & employee level Responsible for all corporate secretarial matters Imparting Compliance-related training to employees including new joiner induction Overall assistance to team in vari...