07/01 Shashi
Recruiter at Windows Consultants Pvt Ltd

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Vice President - Compliance - BFSI (10-16 yrs)

Gurgaon/Gurugram Job Code: 651107

- Develop and maintain regulatory policies and procedures under the Compliance Program, including review mechanisms to ensure its continued effectiveness in ensuring all applicable compliance by the company.

- Keep track of and disseminate updates on regulatory and other statutory requirements on an ongoing basis to prevent violations thereof.

- Creating a robust Compliance & Ethics framework and embed the same in various markets of an organization with the mandate to improve corporate governance and implement international best practices.

- Responsible for global and regional regulatory strategy development as and when required.

- Guidance and support on Anti Money Laundering/Combating Terrorism Financing, Sanctions and Anti-Bribery and Anti Corruptions related matters

- Establish and maintain a robust monitoring mechanism to keep abreast of the status of compliance activities of all departments within the Company.


- Prepare compliance status reports on a regular basis to keep the management informed of the operation and progress of compliance efforts.

- Collaborate with cross-functional teams to facilitate implementation of compliance requirements at all levels of the organization and to direct compliance issues to existing channels for resolution.

- Highlight alleged violations of laws, rules and regulations and recommend procedures for corrective action.

- Prepare and file statutory documents and timely reporting with the Regulators.

- Experience of working closely with the Regulatory bodies like- IRDAI, TRAI, RERA etc.

- Maintain and organize compliance records in consonance with internal control and audit mechanisms.

- Overseeing the development and implementation of Compliance strategy of the Company. Taking care of end to end requirements and compliances thereof and identifying and addressing gaps, if any.

- Manage a team, and co-ordinate a wider virtual centre of expertise, of compliance professional and experts for all general and sector specific compliance areas

- Set industry benchmark in Regulatory compliances and set up the Company for credibility and recognition in the Intermediaries ecosystem, including the regulator and competition.

- Ability to advise and provide recommendations on regulatory matters with minimal guidance from external counsel and consultants.

Educational Qualification : Company Secretary (CS) /MBA (Preferred)

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