Compliance Role - Financial Services Firm/NBFC

NBFC Compliance Financial Services

Job Description:

Function / Department / Vertical: Compliance, Legal Having Corporate Secretarial background will be preferred.

Years of Experience: 5 -6 yrs.

Educational Qualifications: Qualified Company Secretary / Chartered Accountant / LLB, B.Com.

RESPONSIBILITIES & TASKS:.

- Knowledge of handling Compliance/legal functions for all the securities businesses.

- Good interpretation skills/capabilities of the provisions of all laws, applicable regulations, various guidelines.

- Excellent understanding of all NBFC businesses with ability to interpret the laws/regulations.

- Having good rapport with the officials of RBI and other Regulatory Authorities.

- Monitoring compliance of the RBI Regulations and timely reporting to RBI, Board of Directors.

- Follow up on commitments/obligations to RBI and other Regulatory bodies.

- Ensuring that the organization operates in fully compliant manner with legal regulations and industry-specific guidelines.

- Ability to handle complex situations having problem solving attitude.

- Follow up on Compliance related audit/inspection observations and incidents for systemic corrections.

- Work closely with legal, risk management, operations, investment and client service teams to ensure a coordinated approach to compliance and client service.

- Having strong knowledge and skills to manage securities businesses within the framework of the applicable laws/regulations.

- Develop and implement strategies to ensure compliance with applicable regulations and guidelines.