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13/11 Anish Handa
Managing Partner at Dimensions HRD Consultants

Views:4043 Applications:207 Rec. Actions:Recruiter Actions:39

Director - Compliance - Financial Services (10-16 yrs)

Mumbai Job Code: 764375


Hiring for reputed MNC firm.


- Provide advice and guidance to the business on relevant regulatory and statutory issues.

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

- 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.

- 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.

- Provide reports on a regular basis, and as directed or requested, to keep the Senior Legal and Compliance officer for Asia Pacific 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.

- Liaison with Heads of Department in the Powai office.

- 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.

- 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.


- Extensive compliance experience in the financial services industry experience in India (10- 12 years)

- Highly organized and detail oriented.

- Exceptional communication and interpersonal skills, both written and verbal.

- Ability to collaborate extensively and work in a complex and interconnected business.

- Ability to interact and build relationships with multiple parties and individuals.

- A forward thinking, creative individual with high ethical standards.

- Superior management presentation skills - able to condense complicated multi-faceted items to bring to management's attention.

- Knowledge of SEZ compliances is an added benefit.

- Fluent in English (oral and written)

Women-friendly workplace:

Maternity and Paternity Benefits

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