Job Description : - Would be responsible for implementation and execution of a comprehensive execution strategy and framework relating to Compliance. - Would be the nodal point of contact between the firm And the various regulators - Would play a central role in the area of identifying the level of compliance risk in each business line, products and processes and issue instructions to operational functionaries / formulate proposals for mitigation of such risk. - Would assess internal guidelines on products/processes/policies for compliance with regulatory guidelines - prior to finalization of such internal product/process/policy guidelines - Would incorporate a robust mechanism to ensure that (i) regulatory guidelines / instructions are promptly issued / disseminated within the organization. (ii) monitor compliance with the regulatory guidelines/ instructions (iii) highlight the instances of compliance failures to CEO/Senior Management - Fulfil specific statutory responsibilities (e.g. calendarizing and ensuring filing of returns to Statutory Bodies, Stock Exchange filings, fulfilment of other listing responsibilities in terms of disclosures etc.). - Liaison for various Inspections by regulator(s) and closure of observations made - Co-ordinate for comprehensive review and reporting on compliance issues and actions at yearly/quarterly/monthly basis as may be decided by the Board/ACB/CEO.

Mumbai

Head - Compliance - BFS 

Head - Compliance - BFS  ,Job Description for Head - Compliance - BFS  in ABC Consultants in  Mumbai for (10-16) years of experience. Apply Now!

Job Description for Head - Compliance - BFS  in ABC Consultants in  Mumbai for (10-16) years of experience. Apply Now!