Head - Compliance - Investment Platform

Head of Compliance

- Our Client has been named as one of the Startups which will change the world!

- An Investment Platform par excellence - it has been invested and pursued by some of the best funds in the world . The Platform is a brokerage for Equities as well as Mutual Funds

- The role will report to the CEO and depending on the candidate preference can be based in Bangalore or Mumbai

Key result areas : 

- Design and oversee implementation of compliance policies and ensure appropriate procedures are established for the governance framework

- Providing compliance coverage for various businesses and products of the firm

- Advice the business divisions on compliance policies related matters, conflict of interest, staff dealings, information barriers and outside business interests

 - Identifying, communicating and providing compliance guidance for the Laws, Rules and Regulations applicable to various businesses such as FEMA, SEBI RBI regulations

- Build and deliver compliance training programs for increasing staff awareness

- Thorough knowledge and understanding of SEBI regulations to be able to provide effective compliance coverage and guidance to the business

- Ability to maintain a culture of compliance by identifying, escalating and timely mitigation of compliance risks

- Compliance breach reporting and periodic updates to senior management and board reporting

- Regular front and back review of Core Compliance activities to enhance controls and ensure the framework meets the continuously evolving regulatory requirements

- Must have good written and verbal communication skills and people management skills to effectively interact with senior management, peers, regulatory agencies, auditors and other stakeholders
 
Person Profile: 

- Articulate, Professionally qualified and someone with a demonstrated network across stakeholders and agencies

- Assertive and capability to work with leadership team

- We need someone with at least 12 years experience ideally a person who is professionally qualified

- Someone who has lead the Compliance for a Brokerage is an ideal profile

- Work with the CEO and Board on Compliance priorities

- Demonstrated record of Excellent network and Liaison work with SEBI, RBI