Compliance Officer Jobs in Mohali - Finvasia Securities Pvt Ltd
Compliance Officer
Finvasia Securities Pvt Ltd
Expired
Posted: 13 Dec 19
Job Description
- Hands on experience in handling Compliances related to the Capital and Commodities Markets (Equity, Derivatives, Commodities and Currency market segments including KYC, DP)
- Defining the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization.
- Developing the annual compliance work plan that reflects the organization's unique characteristics.
- Periodically revising the compliance plan in light of changes.
- Guiding the compliance team in a productive and professional way.
- Overseeing and monitoring the implementation of the compliance program.
- Providing strategic direction to the management team on compliance and preparing and presenting clear and concise compliance reports to the Board.
- Highly skilled in interfacing with SEBI and the Stock Exchanges on compliance issues
- Proven capability to coordinate Inspections conducted by the Regulator and Exchanges, Internal audits, reviews, and examinations.
- Providing guidance, advice, and/or training and educational programs, to improve business' understanding of related laws and regulatory requirements including Anti-money laundering.
- Developing policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation.
- Developing policies and processes for compliance related work
- Coordinating internal compliance review and monitoring activities, including periodic reviews of departments.
- Independently investigating and acting on matters related to compliance.
- Monitoring external review processes
- Expertise in handling crisis management in a high pressure environment and to identify and prioritize tasks at hand.
- Knowledge of operations and risk with regard to DP and KYC
Job Particulars
Role others
Education Other Graduate
Who can apply Freshers
Hiring Process Face to Face Interview
Employment TypeFull Time
Job Id788595
Job Category Others
SkillsStock Trading
Locality Address Industrial Area
State Punjab
Country India
About Company
Finvasia is amongst Indias fastest growing Fintech company that has a diversified business model, offering services ranging from asset management, investment banking, and capital market advisory, currency hedging to brokerage services in commodities, equities and derivatives. The company advises clients on investments in fourteen countries, ranging from Australia to Brazil and everything in between.
Finvasia acts as a one-stop shop for Foreign Portfolio Investors (FPI) who seeks to make investments in the Indian markets. The company also offers advice to investors who plan to diversify their investments across borders and asset class.
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