Associate (AVP) – Compliance, Societe Generale Securities India (Mumbai)

Job description

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

• To ensure filing of all regulatory reports in time with exchanges/SEBI/MCA.
• 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
• To assist Head Compliance in Policies and Procedures and also on the guidelines issued by Exchanges/SEBI.
• To co-ordinate with other departments on regulatory inspection or internal audits/inspection.
• To work with regional teams on group projects and co-ordinate with regional business line for India related market and compliance issues.
• To prepare secretarial records in accordance with Company Law and organize Board/Committee meetings and coordinate with external retainer on Secretarial matters.
• To perform surveillance checks and Financial Crime checks
• To provide training to staff and to perform PS controls