Head - Compliance - Financial Services Firm

We are Currently exploring an Individual professional for the role into compliance role with one of the fastest growing Financial Services company.

Designation - Head Compliance

Location - Mumbai

Job Requirement :

1) Conceptualize, design and monitor comprehensive Compliance Policy

2) Review and disseminate all applicable regulatory guidelines, with clear analyses of impacts and actions.

- Examine relevant regulatory aspects while approving Products and Processes

- Ensure the policies of the organization are in line with regulatory requirements

- Provide guidance and recommendation for corrective actions as appropriate

- Recommend solutions to Compliance Related matters

- Frequent interactions with Business to identify Compliance gaps and ensure resolution of the same

- Identify Compliance Risks on an ongoing basis, carry out periodical Compliance Risk Assessment

- Design Compliance Monitoring Program basis the Compliance Risk Assessment to enable ongoing monitoring and enable the functions to be at satisfactory level

- Conduct inquires / investigations in response to alleged violations of rules, regulations, policies, procedures and the Code of Conduct

- Qualified CA or MBA/PGDM (Finance - 2 years full time) with atleast 13 years of work experience

- Hands on experience in All compliances

- Strong relations with regulators

- Historical team management experience

- An enterprising individual, with excellent analytical and communication skills

- Strong networking skills