Junior Compliance Officer - Mumbai, India - Recex

Recex
Recex
Verified Company
Mumbai, India

3 days ago

Deepika Kaur

Posted by:

Deepika Kaur

beBee Recuiter
Description

Opening:

1 Nos


Job ID:


56065
Employment Type:

Contractual
Reference:

Work Experience:

2.0 Year(s) To 4.

0 Year(s)
CTC Salary:

5.00 LPA TO 7.00 LPA
Function:
Accounts / Finance / Tax / CS / Audit
Industry:

Account/Finance/Tax consulting
Location:
Mumbai


Posted On:

08th Mar, 2023
-
Minimum experience of 2 years in banking or financial services, handling Audit/Finance/Compliance/ Legal/Operations/Risk Management functions:

  • Develop and maintain the firm's compliance program, including policies, procedures, and controls to ensure compliance with all applicable laws, regulations, and industry standards.
  • Conduct regular compliance risk assessments to identify potential areas of noncompliance and develop appropriate strategies to mitigate these risks.
  • Monitor changes in regulatory requirements and industry trends and provide guidance to the firm's management and staff on compliance matters.
  • Develop and deliver compliance training programs to educate staff on their responsibilities and obligations under relevant laws and regulations.
  • Ensure that the firm's compliance program is effectively communicated to all staff, and that the firm's management and staff are aware of their obligations and responsibilities.
  • Develop and maintain effective relationships with regulatory authorities and other relevant stakeholders.
  • Conduct investigations of compliance incidents and work with the firm's management to develop appropriate remedial actions.
  • Produce reports on compliance issues, including regulatory filings, management reports, and other documentation as required.

Key Skills:

Compliance

Audit


Company Profile


The Client is a leading quantitative-driven electronic market-maker partnering with counterparties, exchanges and e-trading venues globally to provide liquidity in the Equity, FX, Fixed Income and Commodity -.

The provide consistent liquidity, helping market participants throughout the world obtain the best prices in the various assets classes we cover, regardless of changing market conditions.

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