Home | Jobs | Legal | Associate - Electronic Blue Sheet (EBS), (Legal & Compliance), 0 to 6 years in Mumbai

01 Feb 2023


Associate - Electronic Blue Sheet (EBS), (Legal & Compliance), 0 to 6 years in Mumbai


5-6 Years

BSE Compliances, Legal, Compliance, Legal Documentation, Agreement, Compliance Management, Compliance – legal and secretarial

Job Description

Position: Associate - Electronic Blue Sheet (EBS), (Legal & Compliance)
Qualification: LLB
Experience: 0 to 6 years
Location: Mumbai

Job Description

This company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm\'s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. This company can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.

The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.

The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.

Global Financial Crimes is responsible for the development and governance of the Firm?s financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.

The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of s regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at   entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.

LCD Center of Excellence ? Mumbai (LCD CoE) is a part of  Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy.

Electronic Blue Sheet (EBS) is an electronic submission of trading data to the Firm?s US securities regulators (e.g. the Securities & Exchange Commission, FINRA and other Self-Regulatory Organizations). Electronic Blue Sheet team handles the intake, tracking, submission, and verification of the Firm?s Blue sheet request submissions. In addition, team is also responsible for assisting the U.S. RIG team with document productions.

01 February 2023


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