Head - Compliance - Broking Firm/NBFC - CS

Compliance Head- NBFC (15-20 yrs)

We are looking for a Compliance Head to be based with a Delhi based NBFC

Position: Compliance Head

Responsibility :

- Implementing the Compliance framework in the company.

- Drafting and reviewing of various Polices and ensuring Board/Audit/ Internal Committee approvals.

- Responsible for correspondence with the regulators like RBI, MCA, data submissions.

- Ensure adherence to all other applicable laws, rules and regulations set forth by RBI.

- Disseminating regulations to business and support functions and provide ongoing advisory services.

- Conducting compliance testing and presenting compliance reports to the management.

- Preparing documents to updates management on any regulatory changes impacting the company.

- Engaging with the Auditors (Internal Audit/ statutory Auditors) in resolving all queries.

- Handling regulatory inspections by RBI.

- Special projects related to Regulatory approvals, M&As, Due Diligence, Listing, Governance etc.

- Drafting, Review and Monitoring of RBI escalated complaints and Ombudsman matters.

- Review and advisory on FEMA compliance, Outsourcing guidelines, Vendor agreements, Press -releases, Marketing materials, etc.

- Shareholder's Agreement & Subscription Agreement - knowledge of related legal provisions, due diligence and documentation

The Successful Applicant:

- CS with 13+ years experience.

- Must have experience working in an NBFC.

- Strong analytical rigour with quantitative capabilities.

- Ability to roll up his sleeve and get into details as and when required

- Effortless storytelling, communication, and synthesis abilities, with strong data visualization capabilities

- Ability to establish trust with business partners and stakeholders at all levels of the organization

- Self-starter who thrives in ambiguous environments and adapts easily to change

- Strong orientation to team culture and cross-functionality

- Ability to drive multiple projects and deliver them on time with high