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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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
