Mid-Level, Senior
Associate (AVP) – Compliance, Societe Generale Securities India (Mumbai)
Job Summary:
To safeguard against Regulatory/Compliance risks and operations related to BSE, NSE and MCX exchange for cash, F&O segment, currency derivative segment and commodities segment within the regulatory/legal framework and complies with its applicable rules & regulations as well as with Societe Generale Group policies.
Main Responsibilities:
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To ensure filing of all regulatory reports in time with exchanges/SEBI/MCA.
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To review circulars or guidelines issued by SEBI/Exchanges/CCP/MCA on daily basis and ensure for completion in time by coordinating with other relevant departments.
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To assist Head Compliance in Policies and Procedures and also on the guidelines issued by Exchanges/SEBI.
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To co-ordinate with other departments on regulatory inspection or internal audits/inspection.
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To work with regional teams on group projects and co-ordinate with regional business line for India related market and compliance issues.
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To prepare secretarial records in accordance with Company Law and organize Board/Committee meetings and coordinate with external retainer on Secretarial matters.
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To perform surveillance checks and Financial Crime checks.
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To provide training to staff and to perform PS controls.
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