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Strong Tier-1 brand and Mumbai location but niche SEBI/corporate-secretarial specialization reduces applicant pool.
Role requires sector-specific SEBI, broking, and company-secretary experience, limiting cross-industry transferability.
Explicit 8–14 years requirement plus mandatory Company Secretary and SEBI/AML expertise increases filtering strictness.
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Lead and advise on compliance functions related to stock broking, research, and investment banking including SEBI, AML, FIU regulations.
Manage all company secretarial workstreams for Indian entities independently, including regulatory filings to SEBI, Exchanges, and Group Compliance.
Oversee compliance monitoring activities, client onboarding (KYC/AML), audits, inspections, and corporate secretarial functions for CLSA India.
8-14 years of experience as Compliance Officer and Corporate Secretary in stock broking, research, or investment banking sectors.
Mandatory qualification: Company Secretary postgraduate from a recognized university.
LLB degree preferred but not mandatory.
Not explicitly mentioned: Notice period requirement.
Experienced in handling SEBI, AML, and FIU regulatory requirements with independent management of regulatory filings and audits.
Strong capability in coordinating compliance monitoring, internal surveillance, and corporate secretarial responsibilities within investment banking or stock broking.
Communicative professional skilled in both written and verbal interactions, suited to a senior compliance and secretarial role.