Head of Compliance

As the Head of Compliance, you will be responsible for managing and ensuring regulatory compliance, staying updated with regulations, and providing legal compliance guidance. Your day-to-day tasks will involve overseeing compliance processes, conducting internal audits, implementing compliance policies, and analyzing compliance data.
QualificationsExpertise in Compliance Management, Regulatory Compliance, and Legal ComplianceDrafting, vetting and negotiating various legal Agreements. In-depth knowledge of relevant regulationsStrong analytical skills for identifying compliance issues and proposing solutionsProven track record in navigating complex regulatory environments, adept at managing compliance requirements for Broker Dealer Compliance, AML, PMS, RIA, and AIF. Extensive engagement with financial regulatory bodies such as SEBI, NSE, and BSE, demonstrating strong regulatory acumen. Deep expertise in KYC procedures and meticulous client onboarding, specializing in due diligence for a wide range of clients including FIIs/FPIs, FCBs, MFs, DFIs, and retail clients.Expertise in Investigation & Reviewing of AML compliances