Job Summary

This position plays an important role in the Finance and Compliance Business Unit. He/She will be responsible for overall business to ensure that their company complies with all laws and regulations. The candidate will be working closely with upper levels of management to deal with compliance problems when they occur. The person will be responsible for role of business and regulatory compliances as required by SEBI, NSE, BSE, clients/stakeholders and other regulatory authorities.Establishing, implementing and managing the compliance framework.Providing Compliance advice to the business. Handling day-to-day Regulatory Compliance. Handling BSE, NSE & SEBI Inspection & audit. Co-coordinating with exchanges for any compliance related issues. Handling compliance matters related to investment banking department.

Principal Duties/Responsibilities

- Managing RBI initiatives including audits etc.

- Maintain working knowledge of relevant legal and regulatory requirements. As needed, utilize general counsel's office, global / market compliance officer, or other line of business subject matter compliance experts.

- Develop and maintain an effective compliance program consistent with local market's requirements

- Ensure that business activities are aligned to the company's compliance program and local regulations in local market.

- Implement policies and procedures to achieve compliance at levels consistent with company standards.

- Participate in the local market mid-year and year-end compliance goal evaluation process and effectively support the business in the setting and accomplishment of the compliance goals as well as follow up with goal owners / stakeholders / dependent groups.

- Provide compliance thought leadership for designated lines of business in local market. Provide guidance on compliance issues to the designated lobs within the market in a manner consistent with all local directives, circulars, and communications and be accountable with the business for performance against established compliance goals.

Educational Qualifications:

- Degree in Law / experience in audit / compliance /control functions/banking background

Professional Experience:

- Minimum 7 - 10 years of experience in Banking or Financial organizations.

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