Executive Compliance (Temp role), Societe Generale Securities India, Mumbai

Job Summary: To safeguard against Regulatory/Compliance risks and operations related to SEBI, BSE, NSE and MCX exchange for Cash, F&O segment and Commodities segment within the regulatory/legal framework and to assist in compliance with its applicable rules & regulations as well as with Societe Generale Group policies. Also, to assist in Corporate secretarial function.

Main Responsibilities:
•    To ensure filing of all regulatory reports in time with exchanges/SEBI/MCA.
•    To send the circulars along with gist to all concerned departments and 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/regulatory reporting.
•    To work with regional teams on group projects and co-ordinate with regional business line for India related market and compliance issues. To assist in carrying out various regional reporting on timely basis.
•    To prepare and update secretarial records in accordance with Company Law, provide certified true copy of resolutions and organize Board/Committee meetings and coordinate with external retainer on Secretarial matters.
•    To perform surveillance checks, personal account dealing checks and various other compliance checks. 

Academic Background (degree and major): 
•    Graduate (in any field – LLB/ B. A/ B.Com) 
•    Company Secretary Degree (Associate member) - Preferred 
•    NISM III A certificate (preferred) 
•    PGDM in Securities Market from NISM (Preferred)

Relevant Working Experience in number of years: Candidates with minimum 2-3 years of experience in compliance function preferably from Broking firms will be preferred

Skills & Competencies required: 

•    Basic 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

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.