• Upstox - Specialist/Senior Specialist - Compliance - CA/CS/LLB Jobs in Mumbai,India - 25323154

  • Upstox
  • Save Job
  • 4 - 7 Years
  • Posted : above 1 month

Job Description:

About Upstox

Upstox (RKSV Securities India Pvt Ltd) is one of Indias leading Discount Broking companies which enables investors and traders to trade in Stock Market and Commodities exchange at a fraction of market price with our state-of-the-art trading platform We are backed by investors such as Mr Ratan Tata and Kalaari Capital We are currently one of the three fastest stock broking companies in India, and have the ambition to be the No 1 We have a team of highly skilled technology and finance professionals, and are currently looking for highly motivated field experts to be part of our high-energy team based in Mumbai

Position Compliance Specialist and Senior Compliance Specialist

About Team

- Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance Compliance assess the firms compliance, regulatory and reputational risk, monitors for compliance with new or amended laws, rules, regulations and guidelines, designs and implements controls, policies, procedure, conducts surveillance, monitors for compliance risks and breaches and leads the firms response to regulatory examination, audits and inquiries

- We are looking for who possess sound judgment, adaptable to changing regulatory landscape You will be part of a team with members from a wide range of academic and professional background

Job Role

- Very good understanding of regulatory policies, various circular of SEBI/ NSE/ BSE and depositories with the ability to apply regulatory concepts in the day-to-day job functions

- You must possess experience in conducting thorough research on higher risk customers and using systems and databases for investigative purposes with the ability to review high risk client activity and identify unusual patterns

- Previous experience covering Institution level / Broker Dealer business in an Regulatory capacity is needed

Job Requirements and Responsibilities include

1 Responsible for performing KYC/CDD/EDD on new customers and during periodic account reviews Work with business units to resolve account opening issues, obtain necessary information during investigations and perform on going reviews of the KYC/customer Follow up and track all documents required to satisfy new account requirements

2 Previous knowledge in conducting transaction monitoring reviews, deep investigations, and reporting suspicious activity related to money laundering and terrorist financing (SAR filings)

3 Support an annual review of the efficiency and effectiveness of the transaction monitoring process

4 Updating Policies and Procedures as per Regulatory guidelines

5 Working knowledge of Securities and Exchange Rules and Regulations

6 Managing internal audits related to depositories and Exchanges

7 Submission of Enhanced supervision data

8 Preparation, submission, and uploading Annual return & Compliance to the exchanges

9 Handling investors complaints

10 Presenting case before IGRP

11 Submission of data and addressing various regulatory queries in time bound manner

12 Handling of Investor complaints and effective resolutions

13 MIS reports for audit, regulatory authorities NSE/ BSE/SEBI/Depositories

14 Analysis of clients complaints and preparing responses

15 Soft skills and effective presentation ability are a Must

Qualification CA/ CS/ LLB

Required Qualifications

- 4-7 Years of experience performing the duties/responsibilities

- Experience with KYC and AML metrics reporting

- Knowledge of Compliance Laws, Rules, Regulations, risks and typologies

- Experience in working with compliance team at Institution level

- Excellent Communications & Analytical skills Inquisitive and proactive in identifying risks and proposing solutions

- Good Understanding of the capital market rules and regulations, circulars etc

- Managing Inspection and Internal audit related to compliance

- Adaptable to change and working with fast pace of growing organization

Profile Summary:

Employment Type : Full Time
Salary : Not Mentioned
Deadline : 06th Jun 2020

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