Location
Indore | India
Job description
Job description
Compliance Manager for Broking House/Stock Exchange/ Capital Market/ Share Market/Mutual Fund/ Equity Market Job description Experience : 8-12 years of experience (post qualification Experience) • Age : Below 40 • Salary : As per market standards • Educational Qualification : Qualified Company Secretary (Additional Law Degree would be given preference) • Job Description : o Handling the corporate secretarial and related matters and managing all day to day secretarial functions and record keeping for the company o Handling all company secretarial compliances under the Companies Act, 2013. o Compliances with the provisions of the RBI- NBFC regulations and related submissions o Handling legal/documentation during fund raising/borrowing and related documentation including term sheets, shareholders agreements, etc o Assistance in loan document drafting, pre and post disbursement compliances of the loan portfolio Head – Compliance and Operations Department Job Purpose: We are looking for a Senior Compliance Officer/Manager to ensure that our operations and business transactions follow all relevant legal and internal rules. He will also review employee's work and provide advice on compliance. Responsibilities: Selected Head's day-to-day responsibilities include: Develop and implement an effective legal compliance program Create sound internal controls and monitor adherence to them Draft and revise company policies Executing audit plans, audit program, and reports Proactively audit processes, practices and documents to identify weaknesses Evaluate business activities (e.g. investments) to assess compliance risk Address employee concerns or questions on legal compliance Educate and train employees on regulations and industry practices Address employee concerns or questions on legal compliance Keep abreast of internal standards and business goals Attending new client meetings & preparation of proposals Requisite Skills: • Proven experience as a Compliance Officer • Experience in risk management • Excellent communication skills in English and Hindi both. • Integrity and professional ethics • Team management skills • Education:- Required Age:- 35-45yr Education: CS/LLB/MBA Job Type: Full-time Salary: ₹100,0000.00 - ₹1,800,000.00 per year Speak with the employer +91 9300961899Job tags
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