Director - Compliance - Capital Market/Mutual Funds

1. Handling compliance related matters from SEBI and RBI perspective

2. Provide Compliance advisory to stakeholders from perspective of SEBI/RBI regulations

3. Handling of work related to code of conduct framed under SEBI (Prohibition of Insider Trading) regulations

4. Exposure of handling the Regulatory inspection/ audit etc.

5. Exposure of handling and mitigating conflict of interest under applicable regulatory regime

6. Exposure to SEBI and RBI liasoning , good regulatory relationship

7. Experience of handling critical complaints

8. Help organization in handling regulatory inquiry/ investigation etc.

9. Highlight emerging compliance risk to Head - Compliance, Legal & Secretarial

10. Vetting regulatory communications from Compliance Perspective

11. Providing training to employees on critical compliance policies

Skills :

1. Proven experience as a Compliance Officer/ Assistant to Compliance officer in Securities/ Capital Markets

2. Excellent knowledge of all the Securities Laws

3. Deep interest in Securities Markets

4. Proactive approach toward implementation of regulatory guidelines

5. Excellent oral and written communication skills

6. Ability to brief the senior counsel / Senior Management

7. Outstanding drafting skills

8. Ability to multi-task

9. Strong negotiation skills

10. Ability to work individually and also in team