Work Mode: 5days - WFO

Company Overview:

Our client is a leading financial services organization operating in the banking and broking sectors. With a significant presence across India, they provide a comprehensive suite of financial products and services to a diverse client base, leveraging both traditional and digital platforms to ensure accessibility and efficiency.

Role Overview:

The Manager/Senior Manager - Compliance role is responsible for ensuring the organization's adherence to all applicable regulatory requirements and internal policies. This role involves close collaboration with various internal teams, including legal, operations, and business units, as well as external stakeholders such as regulatory bodies. The successful candidate will play a critical role in mitigating compliance risks, fostering a culture of compliance, and safeguarding the organization's reputation.

Key Responsibilities:

- Develop and implement comprehensive compliance programs to ensure adherence to regulatory requirements and internal policies.

- Conduct regular compliance reviews and risk assessments to identify potential areas of vulnerability and recommend corrective actions.

- Monitor changes in regulations and laws impacting the organization and communicate these changes to relevant stakeholders.

- Provide guidance and training to employees on compliance-related matters to promote a culture of compliance.

- Manage regulatory reporting and filings to ensure timely and accurate submissions.

- Liaise with regulatory authorities and external auditors to address inquiries and resolve compliance issues.

- Investigate compliance violations and implement corrective actions to prevent recurrence.

- Maintain and update compliance policies and procedures to reflect changes in regulations and best practices.

- Oversee the implementation and maintenance of internal controls to mitigate compliance risks.

- Manage stakeholder expectations and provide regular updates on compliance initiatives.

Required Skillset:

- Demonstrated ability to develop and implement compliance programs within the banking or broking industry.

- Proven expertise in risk management and internal control frameworks.

- Strong understanding of regulatory compliance requirements, including SEBI, RBI, and other relevant regulations.

- Excellent stakeholder management and communication skills, with the ability to influence and collaborate effectively.

- Ability to analyze complex regulatory issues and provide practical solutions.

- Experience in liaising with regulatory authorities and external auditors.

- Strong analytical and problem-solving skills.

- Bachelor's degree in law, finance, or a related field. A Master's degree or relevant certification (e.g., Certified Compliance Professional) is preferred.

- 5 - 13 years of relevant experience.