Assistant Compliance Manager Compliance

Position Description

Designated Company Secretary and hence a KMP. Also, an Associate Compliance Manager reporting into the head of Compliance & legal for CLSA - India

Key Areas of Responsibilitie

• sHandling all Staff dealing Compliances & all necessary Certifications at entity level & employee leve
• lResponsible for all corporate secretarial matter
• sImparting Compliance-related training to employees including new joiner inductio
• nOverall assistance to team in various Compliance Monitoring activities (Transaction Monitoring, resolving Internal Surveillance System alerts, RBS, audits, inspections, FIU related etc.
• )Assisting with surveillance & communication
• sAssistants with all regulatory filings to be filed with SEBI, Exchanges and Group Compliance on monthly/quarterly/half-yearly/yearly/ad-hoc basi
• sAssist in formulating and implementing Compliance policie
• sAssist in Client On-boarding related activities (including KYC/ AML checks
• )Handling all corporate secretarial work of all CLSA entities in Indi

a
Requiremen

• tsCertified Company Secreta
• ryGraduate or Postgraduate from any discipline. LLB (preferable but not mandator
• y)Minimum 3 years of relevant experience in any regulated organizati
• onGood working knowledge of Excel, Word and Power Poi
• ntExcellent command in English fluent in both spoken and writt
• enMust have working knowledge of company secretarial matters of any regulated enti
• tyStrong communication skills, interpersonal skills, self-starter, team player, able to multitas