Associate (Associate Vice President) – Compliance , SG Securities India (Mumbai)

Permanent contract|Mumbai|Compliance

Associate (Associate Vice President) – Compliance , SG Securities India (Mumbai)

  • Mumbai, India
  • Permanent contract
  • Compliance


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

Profile required

Academic  Background (degree and major):- 

•    Graduate (in any field – LLB/ B.A/ B.Com)
•    Company Secretary Degree (Associate member) - mandatory
•    NISM III A certificate (preferred)

Relevant Working Experience in number of years:- Minimum 8 years of overall work experience with 4 - 7 years of relevant experience in compliance function preferably from Broking firms.

Skills & Competencies required:- 

•    Knowledge of SEBI and Exchange rules & regulations, Company Law. 
•    To be up to date on all the regulatory amendments applicable to the Company and also changes in the Group policies.
•    Analytical thinking
•    Stakeholder management
•    High integrity

Language Skills:- English

Computer Skill:- Excel, Word, Power point

Business insight

Societe Generale Securities India Pvt. Ltd. (SGSI) is the stock-broking arm of Societe Generale Group (SG Group) and was one of the earliest foreign brokers to enter India. SGSI started with a representative office in 1994 and established a full-fledged presence by 1995. 
SGSI is a Securities and Exchange Board of India (SEBI) registered Stock Broker with Trading and Clearing Membership and obtained membership of Stock Exchanges (National Stock Exchange, Bombay Stock Exchange and Metropolitan Stock Exchange) to provide services in various segments (Cash Equities, F&O, Currency & Debt) of Stock Exchange. The Company has been active in the Stock Market since 1997. 
SGSI is managed by a team of professionals /specialists in the broking business. The Company has a dedicated team of specialist dealers & traders to cater to the needs of institutional clients. 
The Company has established itself as a premium player in the institutional segment where quality service and best technology combined with best possible execution and clearing services. The Company aims to specialize and develop capabilities in providing best quality execution and clearing services to its clients.

Societe Generale is an equal opportunities employer and believes that a diverse and inclusive workforce should be encouraged and recognized.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

  • Reference: 230004Y0
  • Entity: Societe Generale Securities India Pvt. Ltd.
  • Starting date: 2023/04/01
  • Publication date: 2023/02/21