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12/09 Parul Gupta
Talent Acquisition & Content Development at AceProHR

Views:802 Applications:178 Rec. Actions:Recruiter Actions:173

Chief Compliance Officer - NBFC (13-25 yrs)

Mumbai Job Code: 1313372

Purpose of the Role :

- To ensure that the organization is in compliance with various legal & regulatory compliance requirements.

- Design and execute policies and procedures which govern the organization's compliance program.

Key Responsibilities :

- Conceptualize, design and monitor comprehensive Compliance Policy

- To establish and manage a robust Compliance Program to commensurate with the Business strategies of the Organization through the below activities:

- Review and disseminate all applicable regulatory guidelines, with clear analyses of impacts, actions to be taken and timelines to the relevant units.

- Examine relevant regulatory aspects while approving Products and Processes

- Ensure the policies of the organization are in line with regulatory requirements

- Provide guidance and recommendation for corrective actions as appropriate

- Recommend solutions to Compliance Related matters

- Frequent interactions with Business to identify Compliance gaps and ensure resolution of the same

- To Identify Compliance Risks on an ongoing basis, carry out periodical Compliance Risk Assessment

- Design Compliance Monitoring Program basis the Compliance Risk Assessment to enable ongoing monitoring and enable the functions to be at satisfactory level

- To conduct inquires / investigations in response to alleged violations of rules, regulations, policies, procedures and the Code of Conduct

To be a Nodal point for all regulators and carry out the following activities:

- On going liaising with regulators

- Vetting of correspondences / compliances before submitting to regulators

- Coordination with Departments and Regulators during regulatory inspections

- Timely submission of data as sought by regulators

- Dissemination of inspection reports, collation of compliance, validation of compliance, reporting to Board / Board Committee.

- To periodically report to the Management, Committees of the Board and the Board on the compliance matters and update periodically with the changes in the regulatory landscape and their impacts to the company

- Ensuring up-to-date knowledge of employees on the regulatory requirements

Expertise required / Domain Knowledge:

- Knowledge Of Compliance Trends

- Leadership & Organizational Abilities

- Strategic Thinking

- Problem Solving Attitude

Years of Experience Required : 5+ years minimum experience as Chief Compliance Officer & 20+ years of total experience

Any Specific specialization / education: Chartered Accountant / Master's Degree in Accounts and Business Management or Equivalent

Women-friendly workplace:

Maternity and Paternity Benefits

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