.. Migration Tools. Proficiency in SQL and PL/SQL. Extensive knowledge in Oracle Fusion SCM modules (Procurement, Order Management, Inventory, etc.). Strong understanding of Oracle Fusion SCM data model and architecture. Familiarity with Oracle Cloud offerings (SaaS and PaaS) and web services. Ability to .. read more
About ViewTrade:
ViewTrade is the force that powers fintech and cross-border investing for financial services firms throughout the world. We provide the technology, support and brokerage services that business innovators need to quickly launch or enhance a retail, fintech, wealth, or cross boarder investing experience. Now in our third decade, our approach has helped 300+ firms – from technology startups to large banks, brokers, super apps, advisory, and wealth management – create the differentiating investment experiences their customer’s demand. With clients in over 29 countries and a team that brings decades of experience and understanding of financial services technology and services, we help our business clients deliver the investment access and financial solutions they require.
Overview:
To ensure the firm's compliance with all IFSCA, SEBI, RBI (FINRA and SEC exposure will be an added advantage) rules and regulations by providing necessary advice, training and risk assessment pertaining to all of the firm’s broker/dealer, ATS and exchange activities. The position is responsible for implementing all required policies and procedures regarding all business activities done at a firm level with respect to global investing from the IFSCA region.
Compliance officer plays a very crucial role in ensuring all functional units are duly guided during the development life cycle of the new product along with regular maintenance of the product on the platform. The unit also plays a very important role in managing the compliance requirements as per new regulatory guidelines from RBI, SEBI, IFSCA, etc. and ensuring implementation of the same in various different products offered on the ViewTrade’s product services. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm & compliance control environment.
Should have experience with:
Private Markets, helpful if experienced in various fund Regulation Equities Fixed Income Alternative Trading Systems/ Exchanges Knowledge of securities rules and regulations covering operating procedures and customer protection. Working knowledge of securities registration and membership requirements for IFSCA member firms.
Responsibilities:
The candidate will be required to lead the Compliance team of ViewTrade covering Stock Broking business. Maintain oversight of the developments in the Stock Broking regulatory environment to proactively manage the potential regulatory risk/aml risk/kyc risk /ops risk / exposure of affected divisions/departments. Develop and maintain all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls, including client onboarding, KYC, AML, CIP, BCP, insider and personal account handling, disclosures. Perform all daily, weekly, monthly and quarterly compliance reviews (including transaction reviews). Develop and implement necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firm's activities to remain in compliance with all aspects of industry standards (i.e. from sales practices to trading activity). Implement and maintain the mandated Anti-Money Laundering program covering the Broker/Dealer activities. Provide Compliance approval of all new accounts regarding “Know Your Customer” and the firm’s Customer Identification Procedures. Provide advice and training to the firm's management and employees regarding applicable securities rules, regulations, and firm policies. Demonstrate excellent communication skills, both oral and written. Should have the ability and experience to draft clear and professional correspondence, policies and procedures and other documents. Must be able to correspond with all regulators and auditors. Work as liaison to the firm's management and legal counsel to ensure appropriate support if needed for any and all litigation, arbitration, reparation proceedings and all other regulatory, criminal, and civil matters revolving around the firm's Broker/Dealer activities. Demonstrate ability to effectively analyze situations, absorb large amounts of information and apply past experience and judgment to resolve issues in a timely manner Develop implement and monitor supervisory policies and procedures relating to sales, trading, operations, custody, and placement of applicable securities Oversee trade-related compliance activities, including the reporting for fixed-income and equity securities, attend best execution committee meetings, and raise compliance concerns to the Management Committee Supervision of Back Office Operations (including client onboarding, trading, placement) Advise business/support units on IFSCA/ Exchange regulations, rules and standards, including keeping them informed of the developments in this area
Requirements:
Bachelor's degree in Law (LLB) from a recognized Indian university. Minimum of 10-12 years experience in securities compliance and/or legal experience in securities compliance, with emphasis on sales and sales trading, institutional, retail, fixed-income, options, and hedge fund activities Fluent with all current IFSCA/ SEBI issues and concerns Working knowledge of IFSCA, SEBI, and Exchange rules and regulations Strong knowledge of Indian laws and regulatory framework Ability to work independently and handle multiple tasks simultaneously in a fast-paced environment. Strong teamwork and collaboration skills.
Besides skills we are looking:
Startup and Entrepreneurial mindset. Execution oriented. Ability to think big. Collaborative mindset.
ViewTrade is the force that powers fintech and cross-border investing for financial services firms throughout the world. We provide the technology, support and brokerage services that business innovators need to quickly launch or enhance a retail, fintech, wealth, or cross boarder investing experience. Now in our third decade, our approach has helped 300+ firms – from technology startups to large banks, brokers, super apps, advisory, and wealth management – create the differentiating investment experiences their customer’s demand. With clients in over 29 countries and a team that brings decades of experience and understanding of financial services technology and services, we help our business clients deliver the investment access and financial solutions they require.
Overview:
To ensure the firm's compliance with all IFSCA, SEBI, RBI (FINRA and SEC exposure will be an added advantage) rules and regulations by providing necessary advice, training and risk assessment pertaining to all of the firm’s broker/dealer, ATS and exchange activities. The position is responsible for implementing all required policies and procedures regarding all business activities done at a firm level with respect to global investing from the IFSCA region.
Compliance officer plays a very crucial role in ensuring all functional units are duly guided during the development life cycle of the new product along with regular maintenance of the product on the platform. The unit also plays a very important role in managing the compliance requirements as per new regulatory guidelines from RBI, SEBI, IFSCA, etc. and ensuring implementation of the same in various different products offered on the ViewTrade’s product services. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm & compliance control environment.
Should have experience with:
Private Markets, helpful if experienced in various fund Regulation Equities Fixed Income Alternative Trading Systems/ Exchanges Knowledge of securities rules and regulations covering operating procedures and customer protection. Working knowledge of securities registration and membership requirements for IFSCA member firms.
Responsibilities:
The candidate will be required to lead the Compliance team of ViewTrade covering Stock Broking business. Maintain oversight of the developments in the Stock Broking regulatory environment to proactively manage the potential regulatory risk/aml risk/kyc risk /ops risk / exposure of affected divisions/departments. Develop and maintain all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls, including client onboarding, KYC, AML, CIP, BCP, insider and personal account handling, disclosures. Perform all daily, weekly, monthly and quarterly compliance reviews (including transaction reviews). Develop and implement necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firm's activities to remain in compliance with all aspects of industry standards (i.e. from sales practices to trading activity). Implement and maintain the mandated Anti-Money Laundering program covering the Broker/Dealer activities. Provide Compliance approval of all new accounts regarding “Know Your Customer” and the firm’s Customer Identification Procedures. Provide advice and training to the firm's management and employees regarding applicable securities rules, regulations, and firm policies. Demonstrate excellent communication skills, both oral and written. Should have the ability and experience to draft clear and professional correspondence, policies and procedures and other documents. Must be able to correspond with all regulators and auditors. Work as liaison to the firm's management and legal counsel to ensure appropriate support if needed for any and all litigation, arbitration, reparation proceedings and all other regulatory, criminal, and civil matters revolving around the firm's Broker/Dealer activities. Demonstrate ability to effectively analyze situations, absorb large amounts of information and apply past experience and judgment to resolve issues in a timely manner Develop implement and monitor supervisory policies and procedures relating to sales, trading, operations, custody, and placement of applicable securities Oversee trade-related compliance activities, including the reporting for fixed-income and equity securities, attend best execution committee meetings, and raise compliance concerns to the Management Committee Supervision of Back Office Operations (including client onboarding, trading, placement) Advise business/support units on IFSCA/ Exchange regulations, rules and standards, including keeping them informed of the developments in this area
Requirements:
Bachelor's degree in Law (LLB) from a recognized Indian university. Minimum of 10-12 years experience in securities compliance and/or legal experience in securities compliance, with emphasis on sales and sales trading, institutional, retail, fixed-income, options, and hedge fund activities Fluent with all current IFSCA/ SEBI issues and concerns Working knowledge of IFSCA, SEBI, and Exchange rules and regulations Strong knowledge of Indian laws and regulatory framework Ability to work independently and handle multiple tasks simultaneously in a fast-paced environment. Strong teamwork and collaboration skills.
Besides skills we are looking:
Startup and Entrepreneurial mindset. Execution oriented. Ability to think big. Collaborative mindset.