Chief Manager - Compliance

Role & responsibilities

Regulatory Compliance

Policy Implementation

Risk Assessments

Training and Awareness

Monitoring and Reporting

Internal Audits

Investigating Compliance Violations

Liaison with Regulatory Authorities

Industry Changes and Updates

Collaboration and Leadership:

• The staff of Compliance Department shall preferably have a fair knowledge in field of law, accountancy, risk management and information technology and also adequate practical experience in various business lines and Audit/Inspection functions.
• He must be capable of identifying and assessing the main compliance risks facing the Company and formulate plans to manage and mitigate them.
• He must be well trained to keep himself up-to-date with developments in the areas of laws, Rules and standards, regular and systematic education and training.
• He must be capable of promptly reporting to the Audit Committee & Board for any material compliance failures, i.e. failure that may attract significance risk of legal and regulatory sanctions, material financial loss or loss of reputation.
• He must be capable of reporting Compliances pertaining to all laws applicable to the Company and the steps taken by the Company to rectify instances of non-compliances before the ACB and the Board pursuant to Regulation 18(3) & 17(3) respectively of SEBI (Listing Obligations & Disclosure Requirements) Regulations, 2015 (w.e.f. 01/12/2015) as amended from time to time.
• Overall aggregate work experience of 10 years in Compliance, regulatory affairs or a related field in a BFSI sector. Experience in HFCs is preferred.
• Experience in handling Compliance Testing closely and reporting to the management about the gaps observed.
• Experience in handling Compliance Automation Tool as per the latest Regulatory requirement.
• Excellent analytical and problem-solving skills.
• Strong communication and interpersonal skills.
• Experience in compliance program development and implementation.
• Leadership and management skills.
• Ability to work independently and as part of a team.

Preferred candidate profile