Assistant Compliance Manager, Compliance at CLSA

Mumbai, maharashtra, India -

Full Time

Start Date

Immediate

Expiry Date

21 Dec, 25

Salary

0.0

Posted On

22 Sep, 25

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Corporate Secretarial, Training, Transaction Monitoring, Regulatory Filings, KYC, AML, Communication Skills, Interpersonal Skills, Excel, Word, Power Point, Self-Starter, Team Player, Multitasking

Industry

Financial Services

Description

Position Description Designated Company Secretary and hence a KMP. Also, an Associate Compliance Manager reporting into the head of Compliance & legal for CLSA - India Key Areas of Responsibilities Handling all Staff dealing Compliances & all necessary Certifications at entity level & employee level Responsible for all corporate secretarial matters Imparting Compliance-related training to employees including new joiner induction Overall assistance to team in various Compliance Monitoring activities (Transaction Monitoring, resolving Internal Surveillance System alerts, RBS, audits, inspections, FIU related etc.) Assisting with surveillance & communications Assistants with 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) Handling all corporate secretarial work of all CLSA entities in India Requirements Certified Company Secretary Graduate or Postgraduate from any discipline. LLB (preferable but not mandatory) Minimum 3 years of relevant experience in any regulated organization Good working knowledge of Excel, Word and Power Point Excellent command in English fluent in both spoken and written Must have working knowledge of company secretarial matters of any regulated entity Strong communication skills, interpersonal skills, self-starter, team player, able to multitask. Stay informed on CITIC CLSA Job Opportunities Not the right fit? You can create a job alert to receive our latest job openings that meet your interest. CITIC CLSA provides global investors and corporate executives with insights, liquidity and capital to drive their growth strategies. Award-winning research, an extensive Asia footprint, direct links to China and highly experienced finance professionals differentiate our innovative products and services in asset management, corporate finance, equity and debt capital markets, securities and wealth management. As part of CITIC Securities (SSE: 600030, SEHK: 6030), China’s leading investment bank, CITIC CLSA is uniquely positioned to facilitate cross-border capital flows and connect China to the world and the world to China. CITIC CLSA operates from 13 countries across Asia, Australia, Europe and the Americas. For further information, please visit http://www.clsa.com.

Responsibilities

The Assistant Compliance Manager will handle all staff dealing compliances and necessary certifications at both entity and employee levels. They will also assist with corporate secretarial matters and compliance monitoring activities.