Director - Compliance - BFS

Primary Responsibilities :

- This is a strategic role centered around building and managing the compliance posturing of the India center. The incumbent would have dual responsibility of handling India compliance and buildout along with that management of global teams in India.

- Identify, assess and research the scope of regulatory and statutory impact from new regulations and provide compliance advice on regulatory developments.

- Identify potential areas of compliance vulnerability and risk; develop and implement corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future.

- Institute and maintain an effective compliance communication and training program for the organization and the personnel, including promoting an understanding of new and existing compliance issues and related policies and procedures.

- Be a trusted advisor to the business on relevant regulatory and statutory issues.

- Develop, initiate, maintain and revise written internal policies and procedures, including the India compliance manual, to help prevent, detect and correct illegal, unethical or improper conduct.

- Provide reports on a regular basis, and as directed or requested, to keep the management informed of the operation and progress of compliance efforts. Ensure proper reporting of violations or potential violations to senior management and regulators as appropriate and/or required.

- Regular and proactive updates on potential regulatory requirements and changes, status of entity compliances as well as any exceptions on internal compliances.

- Assisting with other general compliance matters and projects as needed.

- Coordinating with business professionals on compliance issues.

- Assisting in surveillance of miscellaneous compliance policies.

- Organizing and delivering Compliance training.

- Daily clearing of trades.

- Assist with corporate governance and maintenance matters.

- Act as the firm liaison with government and statutory bodies as necessary.

- Work with the Senior Legal and Compliance officer for Asia Pacific to help ensure a culture of compliance and a congruent compliance program throughout the organization.