Compliance, Global Banking & Markets Compliance, Associate, Mumbai
- Mumbai, Maharashtra
- Permanent
- Full-time
- Assist in the implementation and maintenance of the company's compliance framework, policies, and procedures, ensuring they align with sectorial regulations and firmwide requirements.
- Stay up-to-date with changes in regulatory requirements and industry best practices in India, advising relevant teams on their impact.
- Provide guidance and training to employees on compliance-related matters, including new policies and regulatory updates.
- Collaborate with various departments, such as Business, legal, operations, and IT, to ensure compliance is integrated into business processes.
- Assist in managing and responding to regulatory inquiries and inspections.
- Maintain accurate and organized compliance documentation and records.
- Assist in the preparation and submission of accurate and timely regulatory reports to relevant authorities and internal stakeholders.
- Support and coordinate the preparation for internal, statutory, and external audits, including gathering required documentation and responding to audit queries.
- 5+ years of professional experience at a financial institution in India dealing with SEBI, BSE, NSE or RBI and other local regulators on compliance matters.
- Bachelor's degree in Finance, Law, Business Administration, or a related field. Preferably a qualified Company Secretary or a degree in Law would be preferred.
- Experience in implementing and maintaining compliance programs, including drafting, amending, designing and implementing appropriate policies, procedures, training and controls.
- Experience in conducting internal investigations and guiding / advising on internal conduct issues.
- Knowledge of SEBI rules and regulations and experience in responding to inquiries from and managing investigations by SEBI and other local regulators.
- Should independently work with regulators and internal teams.
- Ability to work with various departments and build smooth working relationships
- Knowledge of Indian industry standards, laws, and regulations.
- High level of integrity and ethical conduct. Detail oriented.
- Strong analytical, problem-solving, and critical thinking abilities, with meticulous attention to detail.
- Excellent written and oral communication skills, with the ability to present complex information clearly and professionally.
- Ability to work independently and collaboratively in a fast-paced environment, managing multiple tasks and prioritizing effectively to meet deadlines.