ABans Group - Chief Compliance Officer

- Hands on experience in handling Compliances related to the Capital and Commodities Markets(Equity, Derivatives, Commodities and Currency market segments including KYC, DP)

- Defining the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization.

- Developing the annual compliance work plan that reflects the organization's unique characteristics.

- Periodically revising the compliance plan in light of changes.

- Guiding the compliance team in a productive and professional way.

- Overseeing and monitoring the implementation of the compliance program.

- Providing strategic direction to the management team on compliance and preparing and presenting clear and concise compliance reports to the Board.

- Highly skilled in interfacing with SEBI and the Stock Exchanges on compliance issues

- Proven capability to coordinate Inspections conducted by the Regulator and Exchanges, Internal audits, reviews, and examinations.

- Providing guidance, advice, and/or training and educational programs, to improve business' understanding of related laws and regulatory requirements including Anti-money laundering.

- Developing policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation.

- Developing policies and processes for compliance related work

- Coordinating internal compliance review and monitoring activities, including periodic reviews of departments.

- Independently investigating and acting on matters related to compliance.

- Monitoring external review processes

- Expertise in handling crisis management in a high pressure environment and to identify and prioritize tasks at hand.

- Knowledge of operations and risk with regard to DP and KYC