Lawsikho

Deadline Open Deadline

Location 806 DLH Park, Next To MTNL Telephone Exchange, S.V. Road Goregaon (W), Mumbai, Maharashtra 400062

Salary Compensation details will be finalized during the interview process with the selected candidate.

Details of the Organization

Pashupati Capital Services Pvt. Ltd focus is on the development of proprietary arbitrage strategies, using a selective opportunity-driven business model. The main goal is to produce high levels of profitability every year and to ensure consistent & sustainable growth. With its nurtured expertise in financial markets, the group is also in a position to propose financial engineering consulting services for its qualified investors.

Details of the Job/Internship

Pashupati Capital Services Pvt. Ltd is seeking a diligent Compliance Officer with a minimum of 2 years of experience in the trading sector.

Holidays will be provided as per the NSE holiday calendar.
Hours of work: Monday to Friday – 10:30 AM to 07:00 PM & Saturdays 5-6 hours.

Role and Responsibilities

Internal Audit: Conduct regular internal audits to assess compliance with regulatory requirements and internal policies. Identify areas of non-compliance and implement corrective actions.
Client On boarding: Oversee the client on boarding process, including KYC (Know Your Customer) procedures, to ensure compliance with regulatory requirements and mitigate the risk of money laundering and other financial crimes.
Regulatory Compliance: Stay updated on relevant laws, regulations, and industry best practices pertaining to the trading sector. Interpret regulatory requirements and advise management on necessary actions to ensure compliance.
Risk Management: Identify compliance risks associated with trading activities and implement measures to mitigate these risks. Work closely with other departments to address compliance-related concerns and develop solutions.
Training and Education: Provide training and educational resources to employees regarding compliance requirements, internal policies, and best practices in the trading industry.
Reporting: Prepare regular reports on compliance activities, including audit findings, compliance metrics, and recommendations for improvement. Present these reports to senior management and regulatory authorities as necessary.
Monitoring and Surveillance: Utilize monitoring tools and surveillance systems to detect potential instances of market abuse, fraud, or other compliance violations. Take appropriate action to investigate and address any identified issues.
Collaboration: Collaborate with other departments, including Legal, Risk Management, and Operations, to ensure a cohesive approach to compliance across the organization.
Continuous Improvement: Continuously evaluate and improve compliance processes and procedures to enhance efficiency and effectiveness. Stay abreast of emerging trends and technologies in compliance management within the trading sector.

Eligibility

Bachelor's degree in Finance, Business Administration, or related field. Graduate / Post Graduate in Law from a reputed institute with a good academic record
Minimum of 2 years of experience in compliance roles within the trading sector, with a focus on internal audit and client on boarding and KYC.
Strong understanding of regulatory requirements applicable to trading activities, including but not limited to securities regulations, anti-money laundering (AML) laws, and market conduct rules.
Excellent analytical skills with the ability to interpret complex regulatory requirements and apply them to practical situations.
Effective communication skills, both written and verbal, with the ability to convey complex information clearly and concisely.
Detail-oriented with a commitment to accuracy and precision in compliance-related tasks.
Ability to work independently and collaboratively in a fast-paced environment, prioritizing tasks effectively to meet deadlines.
Proficiency in MS Office applications and compliance management software.