Compliance Officer

A Leading Global Independent Investment Bank is hiring for Compliance Officer. The Job Description includes:

Discharge all compliance related functions as required under the SEBI Merchant Banker Regulations.
Compliance advisory: primary responsibility for fielding day-to-day queries from the business and
advising staff on their ongoing regulatory obligations, including in a transactional context
AML / KYC: primary responsibility for dealing with all AML and KYC issues for Moelis India, as part of
the client on-boarding process or otherwise
Day to day compliance processes: working with Global Compliance Function on processes such as for
example, dealing with personal account trades, insider list management, gifts and entertainment registers,
breaches registers, dealing with conflicts of interests and assisting in control room/watch and restricted
list management
Compliance monitoring: assisting in the implementation of the compliance monitoring plan and
reviewing and validating compliance against established policies and procedures and applicable

Employer: Veeyu HR Solutions Pvt. Ltd.
Salary: ₹ Not Disclosed by Recruiter
Industry: Stocks & Trading
Location: Mumbai

[Apply here ]

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