Assistant Manager at Brilliant Seeker Services
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Chief Compliance Officer - Financial Sector (10-15 yrs)
Opening for Chief Compliance Officer for one of NBFC
- Must have over 10+ years of experience in the Financial Sector (Banks/NBFCs/FIs etc)
- Should possess at least 10 years experience at a Leadership level in Banks/NBFCs/FIs lending to Mid & Large Retail Compliance
- Control of Branch Compliance Operation:
- The incumbent shall be required to exercise utmost control over the Branches and their daily reporting. The controls to be implemented directly or through DCOO as per the discretion of the Job Holder. The performances of the staff working in operation are to be constantly monitored through a reporting system in place and changes in the staff to be considered and implemented as and when it becomes necessary.
- To develop, implement, monitor and maintain compliance policies and procedures
- To provide advice on compliance implications of the firm's entry to new markets, products and development of new trading strategies
- To develop the annual compliance work plan that reflects the organization's unique characteristics.
- To periodically revise the compliance plan in light of changes.
- To oversee and monitor the implementation of the compliance program.
- To independently investigate and act on matters related to compliance.
- To monitor external review processes.
- To provide strategic direction to the management team on compliance.
- To prepare and present clear and concise compliance reports to the Board.
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