Compliance, Global Banking & Markets Compliance, Associate, Mumbai

Key Responsibilities:

• 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.

Qualifications:

• 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.

Skills:

• 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.

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