Compliance Manager

le contenu du travail

• : Ensuring that the organization complies with all relevant laws, regulations, and guidelines set forth by regulatory authorities such as the Financial Intelligence Unit (FIU), International Financial Services Centers Authority (IFSCA), NSEIX, IIBX and INX.
• : Developing and implementing compliance policies and procedures tailored to the specific requirements of each regulatory body and exchange, considering factors such as anti-money laundering (AML), know your customer (KYC), and market integrity regulations.
• : Conducting regular risk assessments to identify, assess, and mitigate potential compliance risks associated with the organization’s operations, products, and services.
• : Establishing systems for monitoring transactions, activities, and behavior to detect and report any suspicious or unusual activities that may indicate potential compliance violations, including filing suspicious activity reports (SARs) as required.
• : Providing training and educational programs to employees to ensure they understand their compliance obligations and responsibilities, as well as staying informed about changes in regulations and best practices.
• : Conducting internal investigations into potential compliance breaches or misconduct, coordinating with relevant stakeholders and authorities as necessary, and implementing corrective actions or disciplinary measures as appropriate.
• : Coordinating and participating in compliance audits and reviews to assess the effectiveness of the organization’s compliance program and identify areas for improvement.
• : Serving as the primary point of contact for regulatory inquiries, inspections, and examinations, and maintaining open communication and cooperation with regulatory authorities to address any issues or concerns.
• : Engaging with industry associations, regulatory bodies, and other stakeholders to advocate for policies and regulations that support a fair, transparent, and efficient financial marketplace.
• : Continuously evaluating and enhancing the organization’s compliance program to adapt to evolving regulatory requirements, industry standards, and emerging risks.

Experience

A candidate with 2-5 years of experience with regulations like FIU,IFSCA,NSEIX,INX,IIBX or SEBI,NSE,BSE.

Good to have

• Certification in Certified Regulatory Compliance Manager (CRCM)/ Certified Compliance & Ethics Professional (CCEP)/ Certified Anti-Money Laundering Specialist (CAMS)/ Certified Information Privacy Professional (CIPP)/ Certified Internal Auditor (CIA).
• NISM Series III A - Securities Intermediaries Compliance

Key Skills:

• Knowledge of Securities
• Technology Proficiency
• Customer Service
• Communication Skills
• Problem-Solving

Job Type: Full-time

Pay: ₹80,000.00 - ₹90,000.00 per month

Benefits:

• Health insurance
• Provident Fund

Schedule:

• Day shift

Supplemental pay types:

• Yearly bonus

Experience:

• total work: 1 year (Preferred)

Work Location: In person