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21 Jun 2023


Associate Officer- Co. Security & Compliance, 3 to 5 years in Pune


4-5 Years

RBI, Compliance, Statutory Compliance, Corporate Compliances

Job Description

Position: Associate Officer- Co. Security & Compliance
Qualification: CS
Experience: 3 to 7 years
Location: Pune

Job description
Key Result Areas:

Company Description:
As a leading global investment management firm, Alliance Bernstein fosters diverse perspectives and embraces innovation to help our clients navigate the uncertainty of capital markets. Through high-quality research and diversified investment services, we serve institutions, individuals, and private wealth clients in major markets worldwide. Our ambition is simple: to be our clients’ most valued asset-management partner.
Group Description:
The Compliance Officer will be part of a team that has responsibility for identifying and managing compliance, regulatory issues for the business, corporate secretarial matters including communication with the regulators and working with the business to develop solutions, policies and procedures, implementation and maintenance of a risk-based monitoring program, training and briefing business managers on related compliance issues. Visibility in the business is critical to ensure the presence of a positive compliance culture.
The functions described above are required to be always performed accurately and in a professional manner, in accordance with regulatory standards and written procedures.
Overall Objectives:
1. Designated Company Secretary for Alliance Bernstein Business Services Private Limited
2. Maintenance of regulatory deadlines and compliance monitoring program
3. Handle Regulatory and statutory filings
4. Review of regulatory circulars on daily basis – NSE, BSE, RBI, MCA and repository maintenance
5. Work within a small, proactive team to deliver efficient and best practice compliance solutions.
6. Work with the risk-based compliance monitoring program and testing of the compliance environment.
7. Assist the Compliance team in the management of complaints, breaches and errors.
8. Assist in employee and regulatory licensing matters.
9. Preparing the regulatory reporting checklist and assist in ad hoc project.
10. Coordination with internal teams for regulatory, audit and Inspection related matters.
What makes this role unique or interesting (if applicable)?
 Working amongst an energetic Team in a new office
 Learning of Regulatory and all applicable compliance activities
Qualifications, Experience, Education:
This position requires:
 Qualified Company Secretary.
 3-5 years’ experience in Company Secretarial matters preferred
 Proficient in written and spoken English.
 High degree of professionalism
 Flexible approach to a multi-tasking work environment.
The ability to communicate effectively, both written and verbally, at all levels throughout the organization
is a must. We are looking for the right candidate to have good people skills to further promote a proactive
and consultative compliance culture. Lastly, a proactive, can-do attitude and ability to work to deadlines
will be required.

21 June 2023


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