Head - Compliance - Mutual Fund industry

Head Compliance- Preferred from Mutual Fund industry

Head - Compliance

Industry -Mutual Fund

Mandatory Skills:

Regulatory Compliance Management, sound knowledge of various regulations related to mutual funds and 3600 knowledge mutual fund operations, Regulatory Affairs, Regulatory Reporting, Strategic Planning, Strong communication skills, Analytical and problem-solving capability

Roles & Responsibilities:

- Close liaison with the regulators w.r.t. policy matters and issues concerning the mutual fund industry.

- Co-ordinating with various committees and working groups and take up the issues flagged by the committees/working groups with the regulator.

- Creation of communications and advocacy roadmap for liaison with the regulator.

- Responding to queries and requests from regulatory authorities ensuring timely closure of action points.

- Drafting stakeholder communication to make representations to the regulator and the government.

- Creating proper implementation roadmap around all regulation reforms and impact assessment of changes in regulations on the industry.

- Manage relationships with key stake holders, such as Registrars, stock exchanges, depositories, KRAs, custodians, and audit firms and consultants.

Candidate Profile:

- Experienced team leader, with ability to enhance team performance.

- Thorough understanding of Mutual Fund Industry, especially regulatory compliance, investor services, MF Operations and Operational Risk

- Capability to review and streamline operational processes at an industry level for ease of doing business and enhance investor convenience.

- Strong collaborative skills with ability to influence, without direct authority.

- Strong communication skills to independently communicate with various stakeholders, regulator and government bodies.

- Good Conflict & Time Management skills

- Team player with strong inter-personal skills to deal with personnel at various levels in the industry and at regulator.

- Track record of delivering process results and ability to manage change initiatives.

- Conceptual clarity and strong analytical and problem solving skills.

- Strong belief in ethics and good governance and ability to withstand pressures.

- Eye for detail and meticulousness.

Education:

- Graduate in any discipline with Post Graduate degree in law and/or MBA / PGDM from a reputed institute

Experience: Minimum 15 years of work experience in mutual fund industry preferably in Legal & Compliance