Job
Description
Regulatory Compliance Officer Principal Responsibilities This role is heavily focused on regulatory compliance, trade monitoring and surveillance, SEBI rules & regulations. Advise on a full range of compliance and regulatory issues associated with Millennium s growing research business in India and offshore FPI investing into India, working closely with offshore compliance product specialists/trading teams and onshore/offshore management. Research and analyze all relevant compliance issues, risks and developments, and provide recommendations to mitigate such issues/risks and prepare for such developments by drafting, amending, designing and implementing appropriate policies, procedures and controls; Undertake monitoring and surveillance in relation to such policies, procedures and controls; Conduct internal reviews on and, as appropriate, develop, enhance and maintain such policies, procedures and controls; Conduct internal investigations/risk assessments into a variety of compliance related matters; Maintain relationships with SEBI and other local regulators (as well as stock exchanges, depositories, etc.) and prepare for and respond to regulatory inquiries, inspections and surveys as relevant/appropriate; Closely collaborate and communicate with Asia compliance and global compliance teams; Prepare reports and maintain accurate records of compliance activities, including regulatory communications; Assist country, regional and global compliance teams on any ad hoc tasks and projects as may be assigned from time to time; Liaise with local counsel, custodians and brokers on regulatory/compliance issues; Participate in local industry groups as appropriate. Qualifications/Skills Required 10-12 years experience at a financial institution or similar organization working on compliance matters; Strong knowledge of SEBI rules and regulations, in particular those relating to research and FPIs, and experience responding to inquiries from and managing investigations by SEBI and other local regulators; Experience conducting internal investigations; Ability to work with various departments in Millennium and build smooth working relationships; Able to prioritize in a fast moving, high pressure, constantly changing environment; Strong analytical and problem-solving skills; Growth mindset; Detail oriented; Strong communication skills; and Bachelor s/Post Graduate degree(s) in Finance, Economics, Law or similar field (preferred).
