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Chief Compliance Officer - BBGC/HFC - CS/LLB/LLM (8-15 yrs)
About the client:
- Company Name: Antal International
A leading NBFC / HFC is looking for senior Compliance officer as per details mentioned below:-
Role - Head Compliance / AGM Compliance
Location - Chennai
Job Description :
- Recognize, develop, maintain, and administer all aspects of the HFC's compliance program adequate to ensure adherence to applicable RBI/NHB laws and regulations for HFC's and implement cost effective compliance related solutions for the organization's compliance
- Navigating the ambiguities and regulatory complexities for development of fully compliant products being offered by the company.
- Responsible for effective and efficient legal support for business restructuring, contracts, documentation management, providing legal advisory services and ensuring effective management of legal and contractual services.
- Responsible for correspondence with the regulators like NHB, MCA, data submissions.
- Disseminating regulations to business and support functions and providing ongoing advisory service.
- Preparing documents to update management / Board on any regulatory changes impacting the Company.
- Engaging with the Auditors (Internal Audit / statutory Auditors) in resolving queries.
- Handling end to end inspections by RBI/NHB.
- Special projects related to Regulatory approvals, Due diligence, Governance etc.
- Reviewing, Drafting of RBI / NHB escalated complaints & Ombudsman matters.
- Provide ongoing advice, consultation and guidance on all matters that pertain to compliance
- Work proactively to assess and prioritize risk and compliance issues, establish, implement, and manage compliance policies, procedures, and monitoring throughout the organization to ensure that the compliance program is effective and be efficient in identifying, preventing, detecting, and correcting non-compliance with internal policies and regulatory requirements
- Oversee third-party examinations and audits including regulatory audits; ensure that information requests from regulators are completed accurately and on-time
- Provide guidance to management and employees on ethics, business conduct, and compliance matters including the development and oversight of compliance training program
- Product compliance, with experience of dealing with RBI/NHB.
- Maintenance of Compliance Manual, Updating Management on changes in regulatory environment
- Implementation of various policies such as code of conducts, whistle blower/vigil mechanism policy, insider trading policy, CSR, Anti Bribery policy along with managing/tracking their regular compliance.
- The Compliance Officer's primary responsibility will be to have oversight of the HFC's compliance and regulatory vertical, to ensure that the organization (and its employees) are following the rules and regulations of regulatory agencies, company policies and procedures and firm-wide standards of conduct.
- Oversee compliance within the company to ensure our operational and financial systems and processes are in accordance with relevant legislation
- Plan and coordinate regulatory risk assessments to recommend business operation improvements to the top management
- Monitor and analyse deficiencies and irregularities to provide effective solutions
- Ensure RBI compliance, including monthly/ periodical filing of returns, data submission with NHB as per guidelines and circulars issued by RBI from time to time
- Conduct quarterly review of all the compliances of the Company, ensuring that all the changes made in the SOPs/policies of the company are adopted and approved by the board
Must Have :
Educational Qualification - Preferably - CS, LLB or LLM
Experience - 8 -15 Years
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