Officer - Legal & Compliance

Job Description _Compliance Officer

A compliance officer, or compliance manager, ensures a company functions in a legal and ethical manner while meeting its business goals. They are responsible for developing compliance programs, reviewing company policies, and advising management on possible risks.

Our company is searching for a motivated and experienced compliance officer to guarantee that our business processes and transactions follow all relevant legal and internal guidelines. Your duties will include reviewing employee work, developing company policies, and responding to policy violations. The ideal candidate will be professional, highly-analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and our industry's principles.

Responsibilities:

- Implement and manage an effective legal compliance program.

- Develop, review and maintain company policies.

- Well versed with regulatory policies and guidelines and comply those time to time.

- Advise management on the company's compliance with laws and regulations through detailed reports.

- Create and manage effective action plans in response to audit discoveries and compliance violations.

- Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.

- Assess company operations to determine compliance risk.

- Ensure all employees are educated on the latest regulations and processes.

- Resolve employee concerns about legal compliance.

- Create internal database to support business.

- Advise all the units in compliance affairs.

- Review and approve marketing materials for compliance.

- Check products from legal and compliance perspective.

- Exercise funds' representative function.

- Handle money laundering topics.

- Coach employees for compliance.

- Maintain liaison with the exchange & other regulatory bodies

- Receive and direct compliance issues for investigation and resolution.

- Develop, maintain and review policies for Compliance Program's general operation to prevent improper, unethical and illegal conduct.

- Develop and review Standards of Conduct to guarantee continuing currency and guide management and employees.

- Collaborate with departments to direct compliance for investigation and resolution and consult with Corporate attorney to resolve complex legal compliance issues.

- Handle rules, regulations and policy violation and review and suggest investigative procedures initiation.

- Develop and monitor violation handling system.

Requirements:

- Bachelor's degree in law, finance, business management, or a related field.

- 8- 10 years' proven experience in a compliance officer role, preferable from NBFC/Stock Broking BFSI Sector.

- Good knowledge of Corporate laws, legal requirements, and procedures.

-well adverse and updated with the RBI & SEBI compliance and guidelines

- Brilliant oral and written communication skills.

- Highly-analytical with strong attention to detail.

Physical Requirements:

- Must be able to travel.(if required)