Company Background
Our client, a bulge bracket company, is one of the world's leading financial services company with interests in Investment banking, fund management, brokerages, trading, wealth management, capital markets and advisory company, with offices in 38 countries. Along with being a full scale investment bank they also offer a broad range of services to private clients, small businesses, and institutions and corporations to cover their financial needs. They have built a reputation of providing quality products and investment advice.
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Job Description
The incumbent will be part of the compliance team and involved in the compliance coverage of fixed income businesses in India which primarily comprises of trading and debt sales. The role includes providing compliance support for financing and issuance of debentures through NBFC; Providing compliance support to the business whenever required for new products; Policy framework in terms of supervisory guidelines / desk procedures; Review of compliance with applicable policies; Undertake desk compliance reviews and keeping business updated on the regulatory changes from time to time; Providing coordination with regional compliance team on debt/fixed income issues; Impart training to the new recruits from time to time on the policies and procedures required to be followed by them; Interaction with Regulators (RBI), handling of queries from the regulators, coordinating the regulatory inspections.
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Key Skills
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Essential CS with solid understanding of local regulatory requirements in particular pertaining to stock broking, depository, NBFC guidelines & FEMA regulations
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Desirable Must have excellent communication and presentation skills and be capable of building relationships with all levels of management/ staff.
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Qualifications
CS - Any
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Preferred Experience
5-8 years experience in a similar role with an international brokerage firm, private bank, or regulator.
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