PhonePe - Senior Manager - Regulatory Compliance (5-8 yrs)
We are looking for an Sr. Manager - Regulatory Compliance to add significant value to our business. This position will assist in ensuring that company operates per land of law & business, research on regulatory matters, create checklist, apply for regulatory license and handle regulatory / exchange - audit/inspection.
- Making sure PhonePe is compliant with the regulators / quasi regulators like SEBI, AMFI, and private bodies like NSE, BSE, MCX, or any other recognized stock exchange and ensuring compliances with byelaws, rules, and circulars of the Exchange.
- License application, further submissions
- Interpretation and implementation of various external and internal policies.
- Information dissemination on circulars/regulatory directives to the stakeholders.
- Regulatory liaison.
- Leading Regulatory Inspections.
- Advice on KYC and Anti Money Laundering laws.
- Facilitation of SEBI / Exchange Inspections.
- Understanding how new regulations are going to impact us
- Setting regulatory architecture / guardrails
- Coordinating with other departments as may be required
- Checking and setting processes for communicating with the clients
- LL.B / Company Secretary / Chartered Accountant
- 5- 8 years of relevant experience with minimum 3 years as a - Compliance Officer with a Stock broker
- Have strong communication and influencing skills;
- Excellent oral and written skills in English, capable to draft legal documents;
- Committed, logical thinking and can work under pressure;
- Able to travel occasionally
- Overall broad legal knowledge (corporate law, litigations, labour law, etc)
- understanding of corporate law and procedures
- Well-versed in how business operate with financial acumen
- High degree of professional ethics and integrity, Excellent judgement and analytical skills, good interpersonal skills
- Ability to anticipate legal issues or risks and to - see around the corner-