A leading Finance Service is looking for:
Position / Function: Compliance
Level / Designation (Range): AVP/VP
Location: Mumbai
Qualification: C.A. or C.S. (Degree of law will be added advantage)
Experience (no of yrs - range): 6+ years working experience in
Compliance Department of Broking House.
Age: 30 + Years
Critical Exp Essential :
Should have experience in NBFC activities and liaison with RBI,
Familiar with NBFC regulatory Norms.
Preferably from AMC / NBFC / Broking compliance.
Priority to NBFC experience.
Job Responsibility :
1. Liasioning with Reserve Bank of India for NBFC regulatory
matters.
2. Monitoring the activities of the Primary Market Operations
related activities related to MF distribution activities, IPO
Funding, in line with regulatory requirements and plug compliance
related issues.
3. Handling queries received from various departments on
routine compliance related issues.
4. Review of compliance related MIS/ report prepared by
operations team/ internal audit team.
5. Visiting branches/ Sub-broker to give compliance training.
6. Monitoring and review of various functions performed by
Margin Funding operations in line with Risk Management Policy for
Margin Funding.
Please forward your CV at the earliest to : hrd@avenueshr. com
Regards,
Lakshmi
