Eqvilent is hiring a
Compliance Officer in Worldwide

Summary

The job is for a dual role as Compliance Officer and Company Secretary in a firm, reporting to the Head of India with a dotted line to a Group Head of Legal. The candidate will manage company secretarial activities, coordinate meetings, handle documentation, maintain databases, advise management on compliance, draft policies, manage AML compliance, report regulatory filings, conduct employee training, and resolve alerts/investigations.

Requirements

• Should be a member of ‘The Institute of Company Secretaries of India (ICSI)’ with a valid membership license as on the date of application
• Close to 7 years of work experience in a compliance department for a trading firm, regulator, or other financial services firm environment
• A thorough understanding of Business Rules, Bye Laws and various regulatory provisions of SEBI and various exchange’s (NSE, BSE, MCX, NCDEX etc.)
• No regulatory open cases

Responsibilities

• Managing the Company Secretarial activities for the firm in line with The Indian Companies Act, RBI, MCA and other relevant regulatory regulations to ensure compliance well within the timeframe
• Coordinating, attending, and taking minutes for board and committee meetings, and ensuring all administered actions comply with the applicable regulations
• Handling documentation required for new exchange membership set ups
• Compile and manage the required documentation and filings for regulatory and legal entities
• Maintain databases with all resolutions, policies, procedures, by-laws and regulatory correspondence
• Advise management on the company’s compliance with laws and regulations through detailed reports
• Drafting the firm policies and keeping them abreast with the change in the regulatory requirements including SEBI’s Cyber Security & Cyber Resilience framework for the Stock Brokers
• Managing anti-money laundering (AML) compliance for the firm including due diligence, risk assessment, creating policies and procedures adhering to the key stages such as 'placement', where illegal funds are introduced into the financial system, 'layering', which involves complex transactions to hide the source of funds, and 'integration', where 'clean' money is reintegrated into the economy
• Reporting / updating the Exchange and other regulatory compliance filings, records and systems relevant to broker-dealer registrations, employee certifications and other similar legal and compliance functions on a periodic basis well before the due dates
• Co-ordination and management of periodical regulatory audits such as Internal, Systems, Cyber, Exchange and regulatory audits and clean closure of the same
• Resolution of Exchange and Regulatory alerts / investigations/ suspicious activity and communicate with India Head and regional compliance and communicate the progress of any reviews and investigations and highlight high-risk matters or regulatory issues
• Conducting employee compliance training, testing of compliance policies and procedures in support of periodic certifications and reviews
• Organizing and coordinating follow-up items with responsible internal teams / external parties, ensuring prompt execution of tasks and resolution of issues and management of records
• Timely provision of accurate and comprehensive information, documents and materials to the international group on senior management request

Preferred Qualifications

• NISM NISM-Series-III-A : Securities Intermediaries Compliance (Non-Fund) Certification (should be ready before joining the firm)
• NISM-Series-VII: Securities Operations and Risk Management Certification (should be ready before joining the firm)
• NISM-Series-VIII: Equity Derivatives Certification (can be acquired after joining the firm)

Benefits

• Competitive salary
• 40 paid days off
• Comfortable office in Mumbai