Qualifications / Work experience (minimum & desired) :   - Qualified Company Secretary & LLB/ LLM will be preferred   - 15 (min.) years of work experience out of which 8-10 years in the BFSI sector (mandatory). Should have worked in the Mutual Funds/ AMC Sector (mandatory).  - Additional qualifications including trainings on ALM, SCRA, etc desirable.   - Should have a specific understanding of the fixed income businesses in investment banking, asset management, trading & investments and distribution is an added advantage.   Age: Not more than 42 years.   Core purpose of the role :   The Compliance Head will play a strategic and operational leadership role in ensuring that the the Company adheres to full statutory business related compliances for all business segments existing & future, including but not restricted to Investment Banking, Portfolio Management, NBFC, Stock Exchange Membership driven Brokerage, OTC transactions, Proprietary Investments & trading, and Distribution - Mutual Funds, AIFs, Insurance, Bonds, FDs, Currencies & Commodities. etc.   Key Result Areas (bullet points) :   - To advise business heads about and ensure adherence to compliance requirements for all / any transactions in the various business areas, with special focus on the rules & guidelines of Company Law, SEBI, RBI, Exchanges, and other regulators such as FIMMDA, IRDA, etc., and enforce the same through ensuring compliant processes and periodic team driven audits. This includes requirements related to KYC, trades, settlements, resolutions, and reporting. Indicatively the laws include New Company's Act, SCRA, SEBI Act, SEBI Rules, Depositories Act, ICDR (issue of capital & disclosure requirements), regulatory framework related to Securities Market intermediaries, AML / PMLA (prevention of money-laundering act) and Insider Trading regulations (SEBI-prohibition of insider trading regulations).   - To evaluate all agreements including but not restricted to lease agreements, borrowing / loan documentation for own funding requirements (and supporting role for loans syndicated for clients), distribution agreements with third party distributors for own products (PMS)&where the group entities are distributors for third party products, and all agreements related to Merchant Banking / Investment Banking.   - To be able to draft relevant yet easy to implement compliance related policies (finally leading to a compliance manual) which would include basic business processes for transacting the routine business of the company covering multiple regulations for the businesses such as PMS, Brokerage, Investment Banking, Distribution & NBFC. This will include entity & business structure, transactions & special / critical laws such as AML & Insider trading regulations.   - To ensure that all financial transactions including equity or debt issuance, borrowing, lending, money management client transactions of all types, brokerage transactions, investment banking transactions, underwriting transactions, settlements are fully compliant with all relevant rules, laws & regulations prevalent in India from time to time.   - To evaluate & oversee the development of specialized financial structures from a legal perspective as and when sought by business teams, and also deal with external legal advisors for the same.   - To monitor and partner with business heads on the existing & developing compliance & regulatory scenario with the potential impact on business as it emerges.   - To deal with multiple regulators (RBI, SEBI, IRDA, FIMMDA etc), exchanges (NSE, BSE, MCX etc), auditors (regulatory, statutory, internal, etc), and legal advisors of the company. Also develop the protocols and the communications framework with all such agencies, as well as develop a documented understanding of each regulator with their reporting calendars and reporting processes.   - To be able to work with business & other support teams to develop transaction solutions quickly which are fully compliant when new regulations open up newer business opportunities for the group, or, especially when a dramatic change in regulations have the potential to impact existing business adversely.   - To develop the objectives & framework for a compliance audit with defined outcomes across all businesses and entities of the group.   - To work towards building a robust and positively engaging compliant culture across the organisation. This would be through regular information sharing / updates, specific training as required and having interactive round table discussions within business at multiple levels spanning all employees.   - Develop a relevant periodic MIS for the MD on group compliance.

Mumbai

Head - Compliance - CS/LLB/LLM - Mutual Funds/AMC/BFSI Sector 

Head - Compliance - CS/LLB/LLM - Mutual Funds/AMC/BFSI Sector  ,Job Description for Head - Compliance - CS/LLB/LLM - Mutual Funds/AMC/BFSI Sector  in LBW Consulting Pvt. Ltd. in  Mumbai for (15-18) years of experience. Apply Now!

Job Description for Head - Compliance - CS/LLB/LLM - Mutual Funds/AMC/BFSI Sector  in LBW Consulting Pvt. Ltd. in  Mumbai for (15-18) years of experience. Apply Now!