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.
Strong written and verbal communication skills
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Skills Required
- 8-14 years experience as compliance officer and corporate secretary in stock broking, research or investment banking firms
- Company Secretary (professional qualification)
- Postgraduate degree from a recognized university
- Experience with SEBI, AML and FIU related requirements
- LLB
- Strong written and verbal communication skills
CLSA Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about CLSA and has not been reviewed or approved by CLSA.
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Pay Growth & Progression — Base pay for junior bankers was increased significantly in 2021 to stay competitive in a hot market. This indicates willingness to adjust compensation when talent risks rise.
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Healthcare Strength — Permanent staff are automatically enrolled in healthcare aligned to local markets, with added travel health and security support via International SOS. This points to solid core medical coverage with global-travel assistance.
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Retirement Support — Permanent staff are automatically enrolled in pension plans aligned to local markets. A group retirement plan is administered regionally, signaling formalized retirement benefits infrastructure.
CLSA Insights
What We Do
CITIC CLSA is a wholly-owned subsidiary of CITIC Securities and its overseas business platform. Established in Hong Kong in 1986, CITIC CLSA is Asia’s leading capital markets and investment group, committed to driving the growth strategies of global institutional investors, corporations, governments and high-net-worth individuals. CITIC CLSA’s award-winning research, extensive Asia network, direct links to China and highly experienced financial professionals set CITIC CLSA apart from global investment banks and regional players. Over three decades, CITIC CLSA has built an extensive Asia network with deep local knowledge and connections. Globally, we operate from 13 countries across Asia, Australia, Europe and the Americas. For further information, please visit clsa.com
