Compliance Officer

JPMorgan Chase Bank

12 - 19 years

14 - 15 Lacs

gandhinagar

Posted:Just now| Platform:

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Skills Required

aml companies act law anti money laundering company law securities law regulatory operational risk sebi operations trade kyc drafting odi listing agreement compliance regulations advocacy surveillance exchange server inspection stock exchange

Work Mode

Work from Office

Job Type

Full Time

Job Description

Responsible for implementation of compliance framework for IBU and providing Compliance Conduct and Operational Risk (CCOR) coverage to IBU.
Implement the firm s AML & CFT programme for IBU. Working closely with the business, operations, and other compliance partners to ensure that the AML/ CFT / Sanctions programme are implemented as per the firm s policies and standards, as well as local laws and regulations.
Provide regulatory guidance and advisory to the business/operations teams and other stakeholders regarding regulatory changes as well as existing regulations.
Evaluate compliance with relevant regulations, including AML, KYC (impacting the regulatory licenses held by IBU), monitor and identify issues or gaps.
Handle regulatory exams and be the primary contact for regulators during such exams.
Provide updates to the IBU s Governing Body on regulatory developments as well as represent compliance on various legal entity goverce forums.
Engage with IFSCA, SEBI, Exchanges and relevant regulatory authorities for exam/ inspection and other RFIs as well as for regulatory clarifications.
Participate in various advocacy initiatives with IFSCA, SEBI and exchanges.
Handle the escalation of alerts from AML or Trade surveillance team.
Review policies pertaining to IBU based on regulatory changes / requirements.
Work with various regional teams and provide them with necessary updates regarding local regulations.

Required Qualifications, Capabilities, and Skills

10 plus years of experience in the Ficial Services Industry

Preferred qualifications, capabilities, and skills

Chartered Accountant, Master s degree, Company Secretary or other closely related professional qualification will be beneficial.
Experience working in Compliance role at an IFSC Banking Unit (IBU), Fund Management Entity (FME), or Exchange within IFSC will an advantage.
Experience in handling SEBI FPI / ODI regulations or AML /CFT regulations are an added advantage.

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