Head - Compliance - Merchant Banking

Head Compliance - Merchant Banking

Overview of the requirements:

Senior Securities Market professional who is well-versed with the Regulatory framework applicable to the Company and who has demonstrated skills to have worked through people and command respect for the views and mitigation measures.

Job Description:

1. Person shall be overall responsible for Compliance and Risks functions of the Company.

2. Shall be responsible for evolving appropriate policies, educating the team members with various amendments and command respects of the team members.

3. Should possess a perspective to appreciate the risks involved in the day-to-day operations and advise and implement suitable mitigations measures

4. Should have high level inter personnel skills and some understanding of human psychology to monitor their conduct.

5. Personal shall be responsible to coordinate with the Bank, evolve a comprehensive Compliance Monitoring Plan and report the developments and deviations to the Board and Subsidiary Governance

6. Reasonable working relationship with the Regulatory Body will be essential

Desired Skills:

1. CS & Legal background and Regulatory background

2. Influencing abilities and positive attitude

3. Proficiencies and command over the language and writing skills

Desired qualifications and experience:

1. Essentially from business background with postgraduate in Law and Company Secretary

2. With at least of 15+ years of experience in the industry or having worked with the Regulatory Authority