Group Head - Compliance - BFSI

We are seeking a Company Secretary and/or LLB (15-20 years of experience) as Head of Compliance who is looking forward to an extremely intense and challenging role in our asset management platform. An ideal candidate would be someone who has held senior position in a similar profile in the asset management / large NBFC / financial services space.

Roles & responsibilities:

a. Oversee and manage the compliance and secretarial functions end-to-end of the entire platform. NBFC (ND-SI), AIF, PMS, Investment advisor & Mutual fund compliances are the prime focus areas.

b. Liaise with regulators like RBI, SEBI & ROC and other regulators as needed.

c. Review and ensure submission of various regulatory filings are on time and accurate

d. Proactively advise the leadership team on potential compliance related risks and risk mitigation strategies.

e. Monitor regulatory changes, assess impact on business, provide comments on consultative papers

f. Over a period, expected to build a team for different sub-functions, as required

g. Recommend and institutionalize best governance policies and practices.

h. Interact with the board of directors and audit committee

i. Establish an audit program for the various licenses

j. Drafting and Review of commercial agreement

k. Ensure the strategic transactions executed by the group or the funds are in compliance with regulations