Assistant Compliance Manager, Compliance

Key Areas of Responsibilities Advice and assist with all aspects of compliance function relating to stock broking, research and investment banking Advice & lead all company secretarial work streams of the entities in India. Experience with SEBI, AML and FIU related requirements Overall assistance to team in various Compliance Monitoring activities (Transaction Monitoring, resolving Internal Surveillance System alerts, RBS submissions, FIU related etc.)

Independent handling of 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) Independently handling all audits and inspections Handling all Corporate Secretarial function of CLSA India Requirements 8 - 14 years of experience, as compliance officer and corporate secretary in Stock Broking, Research and Investment Banking firm in the Compliance & Corporate Secretarial function Company Secretary Postgraduate from a well-recognized university LLB is preferable but not a must.

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