Assistant Compliance Manager, Compliance
CITICPosition 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 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
Assistants 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 CLSA entities in India
Requirements
Certified Company Secretary
Graduate or Postgraduate from any discipline. LLB (preferable but not mandatory)
Minimum 3 years of relevant experience in any regulated organization
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.
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