Chief Compliance Officer - NBFC/FinancialServices - CS

Chief Compliance Officer - NBFC/FinancialServices #HeadCompliance #RBICompliance

Responsibilities:

- Develop, implement, and maintain compliance policies, procedures, and controls in accordance as per regulatory guidelines.

- Developing Compliance Controls and processes, conducting compliance risk assessments and audits to identify areas of non-compliance and recommend corrective actions.

- Reviewing Regulatory Matters and provide solutions for improving established policies and procedures.

- Timely reviewing the changes in regulatory requirements and assess their impact on the company's operations.

- Maintain regular communication with regulatory authorities, timely reporting and resolution of compliance issues.

- Ensuring guidance to the compliance team, timely completion of assignments and meeting the deadlines and review of their work.

- Collaborate with internal and external stakeholders, and ensuring alignment of compliance objectives with business goals.

- Monitor and review compliance-related incidents, investigations, and complaints, taking appropriate actions to mitigate risks and prevent recurrence.

- Supporting and reporting stakeholders on various on compliance activities, issues, and trends.

Requirements:

- Over 15 years of experience in compliance roles NBFC/Bank/Fintech/BFSI sector

- Strong experience in designing and implementing compliance policies and processes addressing regulatory requirements and mitigate risks.

- Sound understanding and knowledge of laws, regulations, and guidelines governing the financial services sector in India, e.g. RBI regulations, SEBI guidelines, and other relevant regulations and laws.

- Strong leadership, stakeholder and team management skills.

- Qualification: CS